Roger Dean Ames

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2014-11-25
OH	RA	APPROVED	2003-03-11

TX RA
APPROVED

Since 2014-11-25
OH RA
APPROVED

Since 2003-03-11

Branch Locations

5995 Fairfield Road, #2, Oxford, OH 45056 • 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.)	Oxford	OH	03/2003	Present

03/2003 → Present

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

Oxford, OH

Other Businesses

1). 11/17/2023 - ROGER AMES, CPA - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s)- Start Date 01/01/2019 - 25 Hours Per Month/ During Trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1983-01-14

S63 Uniform Securities Agent State Law Examination

1983-01-14

Designations

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

Designations

Other Firms

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