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Detailed Report
ROBERT JOHN FLOE
ROB FLOE
CRD#: 1696155
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 140 S LAKE AVE STE 309
PASADENA, CA 91101
Registration History
199019952000200520102015202020252 FIRMS2012 - 2022 (9 years)2 FIRMS2022 - Present (3 years)BLPL FINANCIAL LLC (CRD# 6413)1994 - 2012 (18 years)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1987 - 1994 (6 years)IALPL FINANCIAL LLC (CRD# 6413)1995 - 2012 (16 years)
License(s)

State Registrations

B
Arizona 3/16/2022
B
Montana 1/25/2023
B
California 3/16/2022
B
New York 3/16/2022
IA
California 3/16/2022
B
North Carolina 3/16/2022
B
Colorado 3/16/2022
B
Ohio 3/16/2022
B
District of Columbia 3/16/2022
B
Oregon 3/16/2022
B
Florida 3/16/2022
B
Pennsylvania 3/16/2022
B
Georgia 3/16/2022
B
Tennessee 11/7/2022
B
Hawaii 3/16/2022
B
Texas 3/16/2022
B
Idaho 3/16/2022
IA
Texas 3/16/2022
B
Illinois 4/25/2023
B
Virginia 3/16/2022
B
Maine 3/16/2022
B
Washington 3/16/2022
B
Maryland 3/16/2022
B
Wisconsin 4/30/2024
B
Minnesota 3/16/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
140 S LAKE AVE STE 309, PASADENA, CA 91101
PASADENA, CA
Registered with this firm since 3/16/2022
B
LPL FINANCIAL LLC (CRD#:6413)
140 S LAKE AVE STE 309, PASADENA, CA 91101
PASADENA, CA
Registered with this firm since 3/16/2022
Previous Registration(s)
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IA
 06/04/2012 - 03/21/2022 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) PASADENA, CA
B
 06/04/2012 - 03/21/2022 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) PASADENA, CA
IA
 11/06/1995 - 06/14/2012 LPL FINANCIAL LLC (CRD#:6413) PASADENA, CA
B
 03/18/1994 - 06/14/2012 LPL FINANCIAL LLC (CRD#:6413) PASADENA, CA
B
 07/21/1987 - 03/21/1994 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.