Robert Louis Franer

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	2025-02-13
OH	RA	APPROVED	1999-10-15

TX RA
APPROVED_RES

Since 2025-02-13
OH RA
APPROVED

Since 1999-10-15

Branch Locations

Fayetteville, OH • United States

8044 Montgomery Rd Ste 700, Cincinnati, OH 45236 • 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
Lpl Financial Llc	Fayetteville	OH	10/1997	Present

10/1997 → Present

Lpl Financial Llc

Fayetteville, OH

Other Businesses

1. 06/30/2000 - ACT IN A FIDUCIARY CAPACITY - JO ANN FRANER TRUST - TRUSTEE. 2. 8/29/2018 - Diversified Brokerage Specialists - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:08/14/2018 - 5 Hours Per Month/3 Hours During Trading. 3. 04/22/2019 - TASC - Investment related - At reported business location(s) - Non-Variable Insurance - start date:02/12/2019 - 4 hrs/mo - 0 hrs during trading. 4. 07/01/2019 - GoldenCare - Investment related - At reported business location(s) - Non-Variable Insurance - start date:05/08/2019 - 20 hrs/mo - 5 hrs during trading. 5. 09/16/2021 - Castellum Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/10/2021 - 40 Hours Per Month/40 Hours During Securities Trading. 6. 11/29/2023 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 11/06/2023 - 1 Hour Per Month/ 0 Hours During Trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1984-03-20

S63 Uniform Securities Agent State Law Examination

1984-03-20

View on SEC IAPD