Robert Charles Austin

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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 Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2026-07-24

NY RA
APPROVED

Since 2026-07-24

Branch Locations

445 Broadhollow Road Suite 405, Melville, NY 11747 • 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
Credit Suisse Securities (Usa) Llc	New York	NY	06/1992	10/2024
Ubs Securities Llc	New York	NY	10/2024	01/2026
Lpl Enterprise Llc	Melville	NY	05/2026	Present
Unemployed	Commack	NY	01/2026	05/2026

06/1992 → 10/2024

Credit Suisse Securities (Usa) Llc

New York, NY
10/2024 → 01/2026

Ubs Securities Llc

New York, NY
05/2026 → Present

Lpl Enterprise Llc

Melville, NY
01/2026 → 05/2026

Unemployed

Commack, NY

Other Businesses

1. 05/11/2026 - Robert Austin N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Commack NY - Inv Related - OBA Start Date: 05/08/2026 - 160 Hour(s)/Month - 160 Hour(s) During Trading 2. 05/11/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Commack NY - Inv Related - OBA Start Date: 05/08/2026 - 160 Hour(s)/Month - 160 Hour(s) During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-07-24

S66 Uniform Combined State Law Examination

2026-07-24

View on SEC IAPD