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Emma Leigh Tanabe

LPl Financial LLC

Centennial, CO

CRD 7860239

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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

AuthorityCategoryStatusDate
CO RA APPROVED 2024-03-21
  • CO RA
    APPROVED
    Since 2024-03-21

Branch Locations

Centennial, CO • 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
OrganizationCityStateFromTo
Lpl Financial Llc Centennial CO 01/2024 Present
Oracle Japan Tokyo 05/2017 12/2023
Oracle Lehi UT 08/2015 05/2017
  • 01/2024 → Present
    Lpl Financial Llc
    Centennial, CO
  • 05/2017 → 12/2023
    Oracle Japan
    Tokyo
  • 08/2015 → 05/2017
    Oracle
    Lehi, UT
Other Businesses

1- 01/2024 / integrated Strategies / DBA for LPL Business (entity for LPL business) / 160 HRS MNTH / 8 HRS DURING TRADING / START DATE 12/3/2012

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-03-21
  • S66 Uniform Combined State Law Examination
    2024-03-21
Other Names
  • Emma Leigh Kearney
  • Leigh Emma Tanabe

View on SEC IAPD

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