Rachel M Wagner

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-09-25
CA	RA	APPROVED	2010-04-06

TX RA
APPROVED_RES

Since 2018-09-25
CA RA
APPROVED

Since 2010-04-06

Branch Locations

San Francisco, CA • United States

1700 S El Camino Real Ste 504, San Mateo, CA 94402 • 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

Organization	City	State	From	To
Lpl Financial	San Francisco	CA	04/2010	Present

04/2010 → Present

Lpl Financial

San Francisco, CA

Previous Registrations

2007-01-05 → 2010-04-30

Cambridge Investment Research Advisors, Inc.

San Francisco, CA

Other Businesses

1. 4/20/2012: DBA ONLY - PRINCIPLED SOLUTIONS - INV Rel. 2) 09/12/2025 - Maven Lane Financial Group - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:09/02/2025 - 240 Hrs/Mth - 120 Hrs During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-09-30

S66 Uniform Combined State Law Examination

2006-09-30

View on SEC IAPD