Warren Harris Strauss

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
FL	RA	APPROVED	2023-05-08
TX	RA	APPROVED	2023-05-04

FL RA
APPROVED

Since 2023-05-08
TX RA
APPROVED

Since 2023-05-04

Branch Locations

Bradenton, FL • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	Boston	MA	04/2011	02/2017
Ameriprise Financial Services Inc	Sarasota	FL	02/2017	05/2023
Lpl Financial	Bradenton	FL	05/2023	Present

04/2011 → 02/2017

Oppenheimer & Co. Inc.

Boston, MA
02/2017 → 05/2023

Ameriprise Financial Services Inc

Sarasota, FL
05/2023 → Present

Lpl Financial

Bradenton, FL

Previous Registrations

2017-02-10 → 2023-05-10

Ameriprise Financial Services, Llc

Sarasota, FL

Sarasota, FL
2016-03-22 → 2017-02-15

Oppenheimer & Co. Inc.

Boston, MA

Sarasota, FL

Other Businesses

1) 04/2023 - Regent Prime Advisory Services - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 0hrs/month - 99% time spent 2) 04/2023 - Poll Worker - Outside/W-2 Employment - Non-inv. Related - Bradenton, FL - Precinct Clerk/Polling Precinct Leader - Start Date 08/03/2020 - 15hrs/month - <2% time spent 3) 06/29/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 06/23/2023 - 20 Hours Per Month/ 8 Hours During Securities Trading 4) 03/20/2024 - United American Insurance - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Started: 11/1/2023 - 20 Hrs/Mo; 2 Hrs During Trading. 5) 06/21/2024 - Assertive Firearms Team Training - Business Owner - Firearms Instructor - Not Investment Related - Bradenton, FL - Start Date 07/01/2024 - 8 Hours Per Month/ 0 Hours During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-03-21
S66	Uniform Combined State Law Examination	2004-10-18
S63	Uniform Securities Agent State Law Examination	1981-01-26

S65 Uniform Investment Adviser Law Examination

2016-03-21
S66 Uniform Combined State Law Examination

2004-10-18
S63 Uniform Securities Agent State Law Examination

1981-01-26

Other Names

Warren Harris Strauss
Warren H Strauss

View on SEC IAPD