Vincent Francis Guagenti

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2025-09-26
TX	RA	APPROVED	2024-06-21
CO	RA	APPROVED	2023-05-11

OH RA
APPROVED

Since 2025-09-26
TX RA
APPROVED

Since 2024-06-21
CO RA
APPROVED

Since 2023-05-11

Branch Locations

Lima, OH • United States

6000 E Evans Ave Ste 2-200, Denver, CO 80222 • 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
Xenith Llc	Denver	CO	01/2018	06/2019
Xactware	Denver	CO	06/2019	05/2021
Ascent360	Denver	CO	05/2021	02/2022
Procore Technologies	Denver	CO	02/2022	Present
Ups	Parker	CO	11/2017	01/2018
Unemployed	Parker	CO	01/2016	11/2017
Lpl Financial Llc	Littleton	CO	05/2023	Present

01/2018 → 06/2019

Xenith Llc

Denver, CO
06/2019 → 05/2021

Xactware

Denver, CO
05/2021 → 02/2022

Ascent360

Denver, CO
02/2022 → Present

Procore Technologies

Denver, CO
11/2017 → 01/2018

Ups

Parker, CO
01/2016 → 11/2017

Unemployed

Parker, CO
05/2023 → Present

Lpl Financial Llc

Littleton, CO

Other Businesses

1) 05/2023 - Upstream Investment Partners - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 144hrs/month/ 8 hours during trading 2) 06/03/2026 - Digital Sign Master - Business Owner - Not Investment Related - Lima, OH - Start Date 04/13/2026 - 10 hours per month/ 0 hours during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-01-23

S66 Uniform Combined State Law Examination

2023-01-23