Rolfe Robert Young

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-11-06

TX RA
APPROVED

Since 2020-11-06

Branch Locations

Houston, TX • United States

Disclosures

1 disclosure category 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Houston	TX	08/2015	10/2020
Lpl Financial	Houston	TX	11/2020	Present

08/2015 → 10/2020

Stifel Nicolaus & Co Inc

Houston, TX
11/2020 → Present

Lpl Financial

Houston, TX

Previous Registrations

2015-08-31 → 2020-11-12

Stifel, Nicolaus & Company, Incorporated

Houston, TX
2012-01-13 → 2015-09-30

Hilltop Securities Inc.

Dallas, TX

Houston, TX

Houston, TX
2009-06-01 → 2012-01-19

Morgan Stanley

Houston, TX
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Houston, TX
2005-04-29 → 2007-04-02

Morgan Stanley Dw Inc.

Houston, TX

Houston, TX
2002-08-22 → 2005-05-06

A. G. Edwards & Sons, Inc.

Houston, TX

Other Businesses

1)09/2020 - OTHER-FOR PROFIT BUSINESS - REDWOOD BAR SPIRITS - 1HR/MO 0HRS DURING TRADING - NOT INVESTMENT RELATED - HOUSTON, TX 77024

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-10-13
S63	Uniform Securities Agent State Law Examination	1983-11-02

S65 Uniform Investment Adviser Law Examination

2005-10-13
S63 Uniform Securities Agent State Law Examination

1983-11-02

Designations

View on SEC IAPD