Shelley Ann Schlossberg

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-11-19
CO	RA	APPROVED	2003-12-12

TX RA
APPROVED

Since 2021-11-19
CO RA
APPROVED

Since 2003-12-12

Branch Locations

Denver, CO • 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
Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp.)	Golden	CO	12/2003	Present

12/2003 → Present

Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp.)

Golden, CO

Previous Registrations

1999-01-01 → 2003-12-19

Ubs Financial Services Inc.

Denver, CO

Other Businesses

(1) 12/23/2003 - DBA ONLY - CASTLE MOUNTAIN FINANCIAL SERVICES - 23596 CURRANT DR., GOLDEN, CO 80401 (2) CASTLEMOUNTAIN FINANCIAL - NOT INV REL - 23596 CURRANT DR., GOLDEN, CO 80401 - NON-VARIABLE INSURANCE-MEDICAL/DENTAL, LIFE - START 07/01/14 - 2 HRS/MO NONE DURING TRADING HRS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-03-12
S63	Uniform Securities Agent State Law Examination	1983-05-19

S65 Uniform Investment Adviser Law Examination

1996-03-12
S63 Uniform Securities Agent State Law Examination

1983-05-19

Designations

Other Names

Shelley Gucker

View on SEC IAPD