Roy Michael Straub

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/1999 → Present
  Straub Financial Inc.
  Denver, CO
• 11/2007 → 12/2019
  Securities America, Inc.
  Castle Rock, CO
• 11/2007 → 12/2019
  Securities America Advisors, Inc
  Castle Rock, CO
• 01/2020 → Present
  Lpl Financial Llc
  Castle Rock, CO

Previous Registrations

• 2007-11-26 → 2020-01-16
  Securities America Advisors, Inc.
  Castle Rock, CO
• 1999-01-01 → 2007-12-04
  Lpl Financial Llc
  Castle Rock, CO
  Denver, CO
• 1999-11-12 → 2007-05-09
  Straub Financial Inc.
  Denver, CO

Other Businesses

1)12/06/2019 - STRAUB FINANCIAL INC.- DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 10/1999 2)12/06/2019 - Straub Financial Inc. - Non-Variable Insurance - inv rel - at reported business location(s) - start: 10/1999

Exams

• S63 Uniform Securities Agent State Law Examination
  1996-12-10

Designations

• Certified Financial Planner

Other Names

• Roy M Straub