Ronald C Jernigan

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	2023-05-18

TX RA
APPROVED

Since 2023-05-18

Branch Locations

Spicewood, TX • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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
National Planning Corporation	Austin	TX	03/1999	10/2017
Sigma Financial Corporation	Ann Arbor	MI	10/2017	05/2023
Spc	Ann Arbor	MI	10/2017	05/2023
Lpl Financial Llc	Spicewood	TX	05/2023	Present

03/1999 → 10/2017

National Planning Corporation

Austin, TX
10/2017 → 05/2023

Sigma Financial Corporation

Ann Arbor, MI
10/2017 → 05/2023

Spc

Ann Arbor, MI
05/2023 → Present

Lpl Financial Llc

Spicewood, TX

Previous Registrations

2017-10-19 → 2023-05-18

Spc

Spicewood, TX

Ann Arbor, MI
2001-07-23 → 2017-10-20

National Planning Corporation

Spicewood, TX

Other Businesses

1. 06/22/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 11/1/2017 - 130 Hours Per Month/ 7 Hours During Securities Trading - Time Spent 100%

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-06-28

S66 Uniform Combined State Law Examination

1999-06-28

Other Names

Ronald C Jernigan
Ronald Rae Jernigan

View on SEC IAPD