Randolph Robert Neumann

1. 03/27/2009 - Randy Neumann & Associates - IVN REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) - 100% OF TIME SPENT. 2. 08/13/2009 - Randy Neumann & Associates, Inc. - INV REL - Registered Investment Advisor - 25% TIME SPENT - Comprehensive financial plans and asset allocation advice on 401k plans. 3. 12/12/2011 - Randy Neumann Wealth Management - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 4. 02/13/2013 - NO BUSINESS NAME - INV REL - Author of book: "Fighting for Your Financial Future, Round 2" a compilation of newspaper articles. The articles and the book have been approved by Compliance. - NO TIME SPENT 5. 11/05/2015 - Randy Neumann Wealth Management - INV REL - 600 East Crescent Avenue, Suite 104, Upper Saddle River, NJ 07458 - Registered Investment Advisor DBA - START 10/12/15 - 25 HOURS PER MONTH, 25 DURING TRADING - Our RIA has already been compliance approved. We wish to add our dba to the RIA approval. 6. 02/29/2016 - Trust Financial Services - INV REL -147 Columbia Tpk., Suite 109, Florham Park, NJ 07932 - Non-Variable Insurance - START 02/08/2016 - 2 HOURS PER MONTH DURING TRADING - I have no title at the insurance agency nor am I an owner of the agency.