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Carolrose Ann Schlesinger

LPl Financial LLC

Encino, CA

Woodland Hills, CA

CRD 1519986

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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
CA RA APP_PEND_IARCE 2026-01-01
TX RA APPROVED_RES 2023-01-03
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01
  • TX RA
    APPROVED_RES
    Since 2023-01-03

Branch Locations

Encino, CA • United States

21031 Ventura Blvd Ste 424, Woodland Hills, CA 91364 • 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 Woodland Hills CA 10/2014 Present
Previous Registrations
  • 1997-12-31 → 2014-10-09
    New England Securities
    Encino, CA
    New York, NY
    Encino, CA
    Encino, CA
    Woodland Hills, CA
    Los Angeles, CA
    Woodland Hills, CA
    Los Angeles, CA
    Woodland Hills, CA
Other Businesses

1. 10/03/2014 - LIFE INSURANCE, MEDICAL INSURANCE/ NON-VARIABLE INSURANCE/ 20%/ ENCINO, CA

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1989-07-07
  • S63 Uniform Securities Agent State Law Examination
    1989-07-07
Other Names
  • Carolrose Ann Lopez
  • Carolrose Wuest
  • Carolrose Lopez

View on SEC IAPD

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