Linda Ernestine Bauer

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
FL	RA	APPROVED	2026-01-05
OH	RA	APPROVED	2018-01-22

FL RA
APPROVED

Since 2026-01-05
OH RA
APPROVED

Since 2018-01-22

Branch Locations

Seminole, FL • United States

4555 Lake Forest Dr, Ste 650, Cincinnati, OH 45242 • 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	Cincinnati	OH	05/2010	Present

05/2010 → Present

Lpl Financial Llc

Cincinnati, OH

Other Businesses

1. 02/10/2012 * Viceroy Wealth Counsel * DBA for LPL Business (entity for LPL business) * inv rel * at reported business location(s) 2. 1/16/2020 - Uplevel Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/01/2020 - 80 Hours Per Month/25 Hours During Securities Trading. 3. 10/06/2023 - Emergency Support Providers - Outside/W-2 Employment - Support Coach - Not Investment Related - Home Based - Start Date 07/05/2023 - 2 Hours Per Month/ 0 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-12-30
S63	Uniform Securities Agent State Law Examination	1999-01-22

S66 Uniform Combined State Law Examination

2017-12-30
S63 Uniform Securities Agent State Law Examination

1999-01-22

Other Names

Linda Bahlmann

View on SEC IAPD