Audray Ursula Lohn

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	2005-09-29

TX RA
APPROVED

Since 2005-09-29

Branch Locations

950 Echo Ln Ste 200, Houston, TX 77024 • 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	Houston	TX	08/2005	Present

08/2005 → Present

Lpl Financial Llc

Houston, TX

Previous Registrations

1993-03-03 → 2005-08-29

Morgan Stanley Dw Inc.

Houston, TX

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1992-04-13

S63 Uniform Securities Agent State Law Examination

1992-04-13

View on SEC IAPD

Employer firm

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Exams

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