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Ron Freund

LPl Financial LLC

Emeryville, CA

CRD 1267922

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-05
TX RA APPROVED_RES 2025-06-05
  • CA RA
    APPROVED
    Since 2025-06-05
  • TX RA
    APPROVED_RES
    Since 2025-06-05

Branch Locations

Emeryville, CA • 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
OrganizationCityStateFromTo
Self Oakland CA 01/1981 06/2025
Financial West Group Westlake Village CA 11/1992 08/2017
The Social Equity Group, Inc. San Francisco CA 03/1994 03/2026
Western International Securities, Inc. Pasadena CA 08/2017 06/2025
Lpl Financial Llc Emeryville CA 06/2025 Present
  • 01/1981 → 06/2025
    Self
    Oakland, CA
  • 11/1992 → 08/2017
    Financial West Group
    Westlake Village, CA
  • 03/1994 → 03/2026
    The Social Equity Group, Inc.
    San Francisco, CA
  • 08/2017 → 06/2025
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2025 → Present
    Lpl Financial Llc
    Emeryville, CA
Previous Registrations
  • 2000-06-15 → 2025-12-23
    The Social Equity Group, Inc.
    San Francisco, CA
    Berkely, CA
    Evanston, IL
    Evanston, IL
    Emeryville, CA
  • 2017-08-21 → 2025-06-05
    Western International Securities, Inc.
    Emeryville, CA
    Petaluma, CA
    Campbell, CA
  • 2000-04-27 → 2017-08-21
    Financial West Group
    Evanston, IL
    Berkeley, CA
    Evanston, IL
    Emeryville, CA
    Portland, OR
    San Francisco, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-03-01
  • S63 Uniform Securities Agent State Law Examination
    1991-03-01
Other Names
  • Ron D. Freund
  • Ronald David Freund

View on SEC IAPD

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