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Robert John Floe

LPl Financial LLC

Buffalo, MN

Pasadena, CA

Pasadena, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2026-08-05
CA RA APPROVED 2022-03-16
TX RA APPROVED 2022-03-16
  • MN RA
    APPROVED
    Since 2026-08-05
  • CA RA
    APPROVED
    Since 2022-03-16
  • TX RA
    APPROVED
    Since 2022-03-16

Branch Locations

Buffalo, MN • United States

140 S Lake Ave Ste 309, Pasadena, CA 91101 • United States

Pasadena, CA • 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
Wells Fargo Advisors Financial Network, Llc Pasadena CA 06/2012 03/2022
Lpl Financial, Llc Pasadena CA 03/2022 Present
Previous Registrations
Other Businesses

1) 5/2012 - DBA for LPL Business (entity for LPL business) - FLOE FINANCIAL PARTNERS - Investment Related - Pasadena, CA 91101

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-07-25
S63 Uniform Securities Agent State Law Examination 1994-11-15
  • S65 Uniform Investment Adviser Law Examination
    1996-07-25
  • S63 Uniform Securities Agent State Law Examination
    1994-11-15
Other Names
  • Rob Floe

View on SEC IAPD

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