Cesar A Rascon-carnero

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
CO	RA	APPROVED	2026-08-21

CO RA
APPROVED

Since 2026-08-21

Branch Locations

13781 E Yale Ave, Aurora, CO 80014 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Bmo Bank	Greenwood Village	CO	03/2022	07/2025
Pnc Bank	Highlands Ranch	CO	09/2021	02/2023
First Citizens Bank	Westminster	CO	09/2018	06/2021
Bank Of The West	Lakewood	CO	06/2011	09/2018
Bmo Harris Bank	Aurora	CO	09/2025	Present
Lpl Financial Llc	Aurora	CO	09/2025	Present

03/2022 → 07/2025

Bmo Bank

Greenwood Village, CO
09/2021 → 02/2023

Pnc Bank

Highlands Ranch, CO
09/2018 → 06/2021

First Citizens Bank

Westminster, CO
06/2011 → 09/2018

Bank Of The West

Lakewood, CO
09/2025 → Present

Bmo Harris Bank

Aurora, CO
09/2025 → Present

Lpl Financial Llc

Aurora, CO

Other Businesses

1) 09/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name BMO Investment Services Inv Related / At reported business location (s) 2) 09/2025 - SPCK Pro LLC / Real Estate Rental / Co - Owned / Inv Related / Start date 10/29/2019 - 1 % time spent 3) 09/2025 - BMO HARRIS BANK / Financial Institution Duty / Senior Premier Relationship Manager / Inv Related / Start date 09/22/2025 - 160 hrs per month - 100 % time spent

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2026-08-20
S63	Uniform Securities Agent State Law Examination	2025-12-23

S65 Uniform Investment Adviser Law Examination

2026-08-20
S63 Uniform Securities Agent State Law Examination

2025-12-23

View on SEC IAPD