Robert William Rittenhouse

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_RES	2019-10-22
IA	RA	APPROVED	2017-08-28

TX RA
APPROVED_RES

Since 2019-10-22
IA RA
APPROVED

Since 2017-08-28

Branch Locations

Cedar Rapids, IA • 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
Mount Mercy University	Cedar Rapids	IA	09/1985	Present
Lpl Financial, Llc	West Des Moines	IA	07/2017	Present

09/1985 → Present

Mount Mercy University

Cedar Rapids, IA
07/2017 → Present

Lpl Financial, Llc

West Des Moines, IA

Other Businesses

1. 07/11/2017 - MOUNT MERCY UNIVERSITY/ TEACHING/ 30%/ CEDAR RAPIDS, IA 2. 07/11/2017 - RITTENHOUSE INVESTMENT MANAGEMENT/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 50%/ WEST DES MOINES, IA 3. 02/19/2019 - Mount Mercy University - Investment related - 1330 Elmhurst Dr. NE Cedar Rapids, IA 52402 - Faculty Advisor of Student Investment Club - start date:09/30/2010 - 2 hrs/mo - 2 hours during trading. 4. 05/31/2022 - Rittenhouse Financial Planning, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 05/18/2022 - 150 Hours Per Month/120 Hours During Securities Trading. 5. 10/16/2023 - Rittenhouse Motel Corporation - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Home Based - Start Date 07/14/2023 - 2 Hours Per Month/ 0 Hours During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-08-26

S66 Uniform Combined State Law Examination

2017-08-26

View on SEC IAPD