Cody Ringo

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	2024-10-08

TX RA
APPROVED

Since 2024-10-08

Branch Locations

9595 Six Pines Dr Ste 6330, The Woodlands, TX 77380 • 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
United States Air Force	Nashville	TN	03/2015	01/2023
University Of Alabama	Tuscaloosa	AL	01/2023	06/2024
Lpl Financial Llc	The Woodlands	TX	07/2024	Present
First Command	Clarksville	TN	10/2022	12/2022

03/2015 → 01/2023

United States Air Force

Nashville, TN
01/2023 → 06/2024

University Of Alabama

Tuscaloosa, AL
07/2024 → Present

Lpl Financial Llc

The Woodlands, TX
10/2022 → 12/2022

First Command

Clarksville, TN

Other Businesses

1- 07/2024 / Woodlands Wealth Builders / DBA for LPL Business (entity for LPL business) / Inv Related / 160 hr mnths / 32 hrs during trading / start 08/01/2024

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-10-07

S66 Uniform Combined State Law Examination

2024-10-07

View on SEC IAPD