Robert Ernest Howell

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2018 → 05/2019
  Transamerica Financial Advisors, Inc
  Northglenn, CO
• 10/2017 → 05/2019
  World Financial Group, Inc.
  Northglenn, CO
• 05/1999 → 04/2019
  Centurylink Communications
  Littleton, CO
• 06/2019 → 01/2020
  Oneamerica Securities
  Greenwood Village, CO
• 01/2020 → 05/2023
  Sigma Financial Corporation
  Ann Arbor, MI
• 05/2023 → Present
  Lpl Financial Llc
  Centennial, CO

Previous Registrations

• 2020-09-11 → 2023-05-31
  Spc
  Ann Arbor, MI
  Centennial, CO

Other Businesses

1. 06/15/2023 - Robert Howell - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 1/1/2018 - 20 Hours Per Month/ 2 Hours During Securities Trading - Time Spent 20% 2. 06/15/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 1/12/2020 - 120 Hours Per Month/ 6 Hours During Securities Trading - Time Spent 70% 3. 06/15/2023 - Advance Auto Parts - Not Investment Related - Greenwood Village, CO - Outside/W-2 Employment - Start Date 1/17/2022 - 80 Hours Per Month/ 4 Hours During Securities Trading - Time Spent 20%

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-09-09
• S63 Uniform Securities Agent State Law Examination
  2020-05-26