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Paul William Horrocks

LPl Financial LLC

Arlington, VA

San Diego, CA

CRD 7447372

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2025-01-02
  • VA RA
    APPROVED
    Since 2025-01-02

Branch Locations

Arlington, VA • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc San Diego CA 09/2021 Present
Rocksurance Solutions, Inc. Stratford NJ 07/2014 08/2021
  • 09/2021 → Present
    Lpl Financial Llc
    San Diego, CA
  • 07/2014 → 08/2021
    Rocksurance Solutions, Inc.
    Stratford, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-27
  • S66 Uniform Combined State Law Examination
    2024-12-27

View on SEC IAPD

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