Allen Roy Ernst

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
WA	RA	APPROVED	2013-04-12

WA RA
APPROVED

Since 2013-04-12

Branch Locations

Kingston, WA • 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	Kingston	WA	04/2013	Present

04/2013 → Present

Lpl Financial, Llc

Kingston, WA

Previous Registrations

2009-12-01 → 2013-04-15

Edward Jones

St Louis, MO

Lake Forest Park, WA

Bothell, WA

Edmonds, WA

Other Businesses

1. 4/2/2013: Guide Financial Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 95%.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-11-25

S66 Uniform Combined State Law Examination

2009-11-25

Other Names

Allen R Ernst

View on SEC IAPD