Richard James Rodak

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2024-08-01
TX	RA	APPROVED	2023-06-12

CO RA
APPROVED

Since 2024-08-01
TX RA
APPROVED

Since 2023-06-12

Branch Locations

Westminster, CO • 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	Pittsburgh	PA	06/2011	01/2022
Sigma Financial Corporation	Ann Arbor	MI	01/2022	06/2023
Lpl Financial Llc	Austin	TX	06/2023	Present

06/2011 → 01/2022

Stifel Nicolaus & Co Inc

Pittsburgh, PA
01/2022 → 06/2023

Sigma Financial Corporation

Ann Arbor, MI
06/2023 → Present

Lpl Financial Llc

Austin, TX

Previous Registrations

2023-01-13 → 2023-06-09

Spc

Ann Arbor, MI

Austin, TX
2016-10-07 → 2022-02-04

Stifel, Nicolaus & Company, Incorporated

Pittsburgh, PA

St. Louis, MO

Pittsburgh, PA

Austin, TX

Other Businesses

1) 05/18/2023- Upstream Investment Partners- DBA for LPL Business (entity for LPL business)- Inv. Related- At reported business location(s) 2) 05/18/2023- Rodak Rentals LLC- Real Estate Rental- owner- Inv. Related- Granby, CO - start date 1/1/2023- 5hrs/mth

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1983-06-02

S63 Uniform Securities Agent State Law Examination

1983-06-02

View on SEC IAPD