RB
Robert L. Bohli
LPL ENTERPRISE
HOUSTON, TX 77027
Some features on this profile are disabled
CRD#: 2144436
RB
Professional summary
Robert Lawrence Bohli, who also goes by Rob Bohli, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Houston, Texas.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Bohli
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Lawrence Bohli's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Lawrence Bohli's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1233 West Loop South Suite 1100, Houston, TX 77027Office #2: 24 Waterway Avenue Suite 650, The Woodlands, TX 77380RIA
BD
CRD#: 8733
HOUSTON, TX
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1233 West Loop South Suite 1100, Houston, TX 77027Office #2: 24 Waterway Avenue Suite 650, The Woodlands, TX 77380RIA
BD
CRD#: 8733
HOUSTON, TX
Past
June 24, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
HOUSTON, TX
Past
June 24, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
HOUSTON, TX
Past
January 13, 2017 - June 15, 2021
WADDELL & REED
RIA
CRD#: 866
EDMOND, OK
Past
January 13, 2017 - June 15, 2021
WADDELL & REED
BD
CRD#: 866
EDMOND, OK
Past
January 30, 2013 - January 20, 2017
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
BAYTOWN, TX
Past
January 11, 2013 - January 20, 2017
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
HUMBLE, TX
Past
September 8, 2009 - June 2, 2011
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
THE WOODLANDS, TX
Past
September 8, 2009 - June 2, 2011
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
THE WOODLANDS, TX
Past
April 14, 2009 - July 30, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
DETROIT, MI
Past
April 14, 2009 - July 30, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
February 1, 1995 - July 28, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
THE WOODLANDS, TX
Past
August 1, 1991 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 1, 1991 - July 28, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
THE WOODLANDS, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/14/2024)
IAR
Alabama(11/14/2024)
RR
Arizona(11/14/2024)
RR
Arkansas(11/14/2024)
IAR
Arkansas(11/14/2024)
RR
California(11/14/2024)
IAR
California(11/14/2024)
RR
Colorado(11/14/2024)
IAR
Colorado(11/14/2024)
RR
Delaware(11/14/2024)
IAR
Delaware(11/14/2024)
RR
District of Columbia(11/14/2024)
RR
Florida(11/15/2024)
IAR
Florida(11/18/2024)
RR
Georgia(11/14/2024)
IAR
Georgia(11/14/2024)
RR
Hawaii(11/14/2024)
RR
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Indiana(11/14/2024)
IAR
Indiana(11/14/2024)
RR
Kentucky(11/14/2024)
RR
Louisiana(11/14/2024)
IAR
Louisiana(11/14/2024)
RR
Maryland(11/14/2024)
IAR
Maryland(11/14/2024)
RR
Massachusetts(11/14/2024)
RR
Michigan(11/14/2024)
IAR
Michigan(11/14/2024)
RR
Minnesota(11/14/2024)
IAR
Minnesota(11/14/2024)
RR
Mississippi(11/14/2024)
IAR
Mississippi(11/14/2024)
RR
Missouri(11/14/2024)
RR
Montana(11/14/2024)
IAR
Montana(11/14/2024)
RR
Nevada(11/14/2024)
RR
New Jersey(11/14/2024)
IAR
New Jersey(11/14/2024)
RR
New Mexico(11/14/2024)
IAR
New Mexico(11/14/2024)
RR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
IAR
North Carolina(11/14/2024)
RR
Ohio(11/14/2024)
IAR
Ohio(11/14/2024)
RR
Oklahoma(11/14/2024)
IAR
Oklahoma(11/14/2024)
RR
Oregon(11/14/2024)
RR
Pennsylvania(11/14/2024)
IAR
Pennsylvania(11/14/2024)
RR
Rhode Island(11/14/2024)
IAR
Rhode Island(11/14/2024)
RR
South Carolina(11/14/2024)
IAR
South Carolina(11/14/2024)
RR
South Dakota(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
RR
Utah(11/14/2024)
RR
Virginia(11/14/2024)
IAR
Virginia(11/14/2024)
RR
Washington(11/14/2024)
IAR
Washington(11/14/2024)
RR
West Virginia(11/14/2024)
RR
Wisconsin(11/14/2024)
IAR
Wisconsin(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
