Linda Louise Roman

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_RES	2022-06-02
CT	RA	APPROVED	2022-06-01

TX RA
APPROVED_RES

Since 2022-06-02
CT RA
APPROVED

Since 2022-06-01

Branch Locations

Westport, CT • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	New York	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	New York	NY	11/2016	06/2022
Lpl Financial Llc	Fairfield	CT	06/2022	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

New York, NY
11/2016 → 06/2022

Wells Fargo Clearing Services, Llc

New York, NY
06/2022 → Present

Lpl Financial Llc

Fairfield, CT

Previous Registrations

2010-09-21 → 2022-06-06

Wells Fargo Clearing Services, Llc

New York, NY

Fairfield, CT

New York, NY

Other Businesses

1) 12/20/2023 - Cat Rescue Inc- Other - other - Business Owner - President/ Business Owner- non-inv. related- Home Based - start date 04/10/2003 - 1 Hour Per Month/ 0 Hours During Trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1987-04-20

S63 Uniform Securities Agent State Law Examination

1987-04-20

Other Names

Lin Roman

View on SEC IAPD