Jeffrey Phillip Roach

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

• 10/2006 → 10/2023
  Cambridge Investment Research, Inc.
  Indianapolis, IN
• 10/2006 → 10/2023
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA
• 10/2023 → Present
  Lpl Financial Llc
  Carmel, IN

Previous Registrations

• 2006-10-23 → 2023-10-30
  Cambridge Investment Research Advisors, Inc.
  Indianapolis, IN
  Carmel, IN
• 2005-03-22 → 2006-10-06
  Park Avenue Securities Llc
  Indianapolis, IN
  Indianapolis, IN
• 2004-04-02 → 2005-01-28
  Osaic Fa, Inc.
  Indianapolis, IN
• 1998-12-01 → 2004-02-27
  Osaic Fa, Inc.
  Indianapolis, IN

Other Businesses

1) 10/2023 - Jeff Roach, Real Estate Broker / Mortgage/Real Estate Services / Inv. Related / Start date 02/15/1986 - 3 Hrs per month - 5% Time Spent. 2) 10/2023 - Non-Variable Insurance / Inv. Related / Carmel, IN / Start date 06/15/1991 - 12 Hrs per month - 15% Time Spent 3) 10/2023 - PlanSmart Wealth Management / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 160 Hrs per month - 90% Time Spent. 4) 10/2023 - Jeff Roach - Owner/Landlord / Real Estate Rental / Inv. Related / Multiple locations / Start date 07/10/2008 - 10 Hrs per month - 10% Time Spent. 5) 10/2023 - Smart Vestor Pro - Dave Ramsey / Not Investment Related / Carmel, IN / Start date 02/01/2022 - 30 Hrs per month - 25% Time

Exams

• S63 Uniform Securities Agent State Law Examination
  1987-06-02

Other Names

• Jeff Roach