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Ralph Kirk Teppe

LPl Financial LLC

San Diego, CA

Hamilton, OH

West Chester, OH

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2024-04-26
  • OH RA
    APPROVED
    Since 2024-04-26

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Hamilton, OH • United States

8080 Beckett Centre Dr Ste 202, West Chester, OH 45069 • 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
OrganizationCityStateFromTo
Next Financial Group, Inc Houston TX 01/2009 12/2019
Securities America, Inc. Hamilton OH 12/2019 04/2024
Securities America Advisors Hamilton OH 12/2019 04/2024
Lpl Financial Hamilton OH 04/2024 Present
  • 01/2009 → 12/2019
    Next Financial Group, Inc
    Houston, TX
  • 12/2019 → 04/2024
    Securities America, Inc.
    Hamilton, OH
  • 12/2019 → 04/2024
    Securities America Advisors
    Hamilton, OH
  • 04/2024 → Present
    Lpl Financial
    Hamilton, OH
Previous Registrations
  • 2019-12-22 → 2024-04-29
    Securities America Advisors, Inc.
    West Chester, OH
    Hamilton, OH
  • 2009-02-02 → 2019-12-20
    Next Financial Group, Inc.
    Houston, TX
    West Chester, OH
  • 2004-04-08 → 2009-02-23
    Sii Investments, Inc.
    West Chester, OH
    West Chester, OH
  • 2001-02-05 → 2004-04-12
    Fsc Securities Corporation
    Cincinnati, OH
Other Businesses

1. 04/18/2024- Teppe Financial Service- DBA for LPL Business (entity for LPL business)- At the Reported Business Location (s)- Inv Rel

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-21
S63 Uniform Securities Agent State Law Examination 1986-10-09
  • S66 Uniform Combined State Law Examination
    2007-11-21
  • S63 Uniform Securities Agent State Law Examination
    1986-10-09

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
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CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
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