Victor Alexander Koby

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
TX	RA	APPROVED_RES	2019-09-04
CA	RA	APPROVED	2019-08-30

TX RA
APPROVED_RES

Since 2019-09-04
CA RA
APPROVED

Since 2019-08-30

Branch Locations

Carlsbad, CA • 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
Ameriprise Financial Services, Inc.	San Diego	CA	10/2009	08/2019
Ameriprise Financial Services, Inc.	San Diego	CA	10/2009	08/2019
Lpl Financial	Carlsbad	CA	08/2019	Present

10/2009 → 08/2019

Ameriprise Financial Services, Inc.

San Diego, CA
10/2009 → 08/2019

Ameriprise Financial Services, Inc.

San Diego, CA
08/2019 → Present

Lpl Financial

Carlsbad, CA

Previous Registrations

2009-10-05 → 2019-09-05

Ameriprise Financial Services, Llc

San Diego, CA
2007-12-12 → 2009-10-05

Ameriprise Advisor Services, Inc.

San Diego, CA
2003-05-12 → 2007-12-10

Wells Fargo Clearing Services, Llc

Carlsbad, CA

Carlsbad, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-05-02
S63	Uniform Securities Agent State Law Examination	1984-03-26

S66 Uniform Combined State Law Examination

2008-05-02
S63 Uniform Securities Agent State Law Examination

1984-03-26

View on SEC IAPD