Dale Lavern Schrock

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

• 10/2007 → Present
  Lpl Financial, Llc (Formerly: Linsco Private Ledger)
  Rockingham, VA

Previous Registrations

• 1999-04-30 → 2007-10-08
  Ameriprise Financial Services, Llc
  Harrisonburg, VA
  Harrisonburg, VA

Other Businesses

1. 8/28/2007 - SCHROCK FINANCIAL - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 4/18/2017 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary Public - Start 05/01/2017 - 1 Hour Per Month During Securities Trading. 3. 5/10/2018 - Valley Ventures LLC - Not Investment Related - Rockingham, VA - Real Estate Rental - Start Date:05/09/2018 - 1 Hour Per Month/1 Hour During Trading. 4. 06/30/2022 - Schrock Tax Care - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Owner - Start Date - 06/01/2022 - 10 Hours Per Month/ 5 Hours During Securities Trading. 5. 08/21/2023 - Real Estate Rental - Investment Related - At Reportable Business Location - Real Estate Rental - Start Date 09/03/2023 - 5 Hours Per Month 1 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  1999-04-28

Other Names

• Dale Lavern Schrock
• Dale Lavern Schrock