Cathy Jo Reynoso

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
IN	RA	APPROVED	2018-06-07
TX	RA	APPROVED_RES	2018-04-25
KS	RA	APPROVED	2015-12-17

IN RA
APPROVED

Since 2018-06-07
TX RA
APPROVED_RES

Since 2018-04-25
KS RA
APPROVED

Since 2015-12-17

Branch Locations

Tecumseh, KS • 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	Topeka	KS	12/2015	Present

12/2015 → Present

Lpl Financial, Llc

Topeka, KS

Previous Registrations

2012-11-30 → 2015-12-22

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Topeka, KS

Leawood, KS
2006-10-25 → 2012-12-03

Edward Jones

Lawrence, KS

Topeka, KS

St Louis, MO

Topeka, KS

Other Businesses

(1) 12/17/2015: Madam Tinker - Business Owner - NOT INV REL - Start 04/02/2015 - 3311 SE Meadowview DR - Provide Computer Organizational tips and tricks - 5% Time Spent (2) 07/18/2022 - Reynoso Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 12/17/2015 - 160 Hours Per Month/8 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-10-07

S66 Uniform Combined State Law Examination

2006-10-07

Other Names

Cathy Jo Lee
Cathy Jo Alexander
Cathy Reynoso

View on SEC IAPD