Roger Carl Whittaker

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Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2013-03-22
CA	RA	APPROVED	1997-12-31

TX RA
APPROVED_RES

Since 2013-03-22
CA RA
APPROVED

Since 1997-12-31

Branch Locations

2195 Larkspur Ln Ste 208, Redding, CA 96002-0644 • 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
Linsco/Private Ledger Corp.	Redding	CA	06/1989	Present

06/1989 → Present

Linsco/Private Ledger Corp.

Redding, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1981-03-14

S63 Uniform Securities Agent State Law Examination

1981-03-14

View on SEC IAPD

Other Firms

THRIVENT INVESTMENT MANAGEMENT INC.

RUBICON ADVISORS

THE AMERIFLEX GROUP

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WOVEN CAPITAL, LLC

EDWARD JONES

MARINER INDEPENDENT

Other Investors

JASON ROBERT WAYBRIGHT

ANDREW DAVID FREIBERG

JOHN STUART WINN

LEWIS GEORGE CHAMBERLAIN

BRANDY LYNN BAILEY

JASON MICHAEL RICHART

Joseph Eugene Schmitz

Jeremy Malcom Buranis

Other Offices

LPL FINANCIAL LLC · REDDING, CA

THRIVENT INVESTMENT MANAGEMENT INC. · Redding, CA

RUBICON ADVISORS · Redding, CA

THE AMERIFLEX GROUP · Redding, CA

WELLS FARGO CLEARING SERVICES, LLC · REDDING, CA

LPL FINANCIAL LLC · REDDING, CA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · REDDING, CA

LPL FINANCIAL LLC · Redding, CA

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