RU
Rusty Ullery
LPL ENTERPRISE
TOPEKA, KS 66614
Some features on this profile are disabled
CRD#: 7423110
RU
Professional summary
Rusty Ullery Sr., who also goes by Rusty Ullery, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Topeka, Kansas.
Rusty is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Rusty has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rusty Ullery
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.
1.08/20/2024; LEBO GARAGE TOWING INC; W2 emp; No inv related; 3 hrs/mo non trading; 0 hrs/mo trading; 05/02/2019 2.08/20/2024; GAMEPLAN FINANCIAL; DBA LPL; YES inv related; 160hr/mo non trading; 150/mo trading; 03/06/2023 FAMILY FARM POSITION: Son NATURE: Forestry, Fishing and Agricultural Services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 06/30/1985 ADDRESS: 17897 S. Fairlawn Rd., Scranton KS 66537, United States DESCRIPTION: help my father operate equipment and assist in operations of the farm JIM'S GARAGE POSITION: Evaluator and driver NATURE: Retail Sales INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 06/30/1990 ADDRESS: 17897 S. Fairlawn Rd, Scranton KS 66537, United States DESCRIPTION: Evaluate automobiles for price and condition and help drive LEBO GARAGE TOWING POSITION: Operator NATURE: Transportation INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/20/2019 ADDRESS: PO Box 303, Lebo KS 66856, United States DESCRIPTION: Perform road service calls on as needed basis GREAT AMERICAN INSURANCE POSITION: Part Time Crop Adjuster NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 04/15/2019 ADDRESS: Tower 301 East 4th St, Cincinnati OH 45202, United States DESCRIPTION: Estimate crops APPOINTEE OF BROKER SOURCE POSITION: Appointee NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/17/2022 ADDRESS: 4601 College Blvd, Ste 210, Leawood KS 66211, United States DESCRIPTION: Refer clients to get quote for medical or supplemental insurance GAME PLAN FINANCIAL, LLC POSITION: partner NATURE: insurance and financial services INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 135 START DATE: 04/03/2023 ADDRESS: 3024 SW Wanamaker, Suite 101, Topeka KS 66614, United States DESCRIPTION: insurance and financial services
CRS (Client Relationship Summary) - RIA
Click below to view Rusty Ullery Sr.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rusty Ullery Sr.'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: 5605 Sw Barrington Court S. Suite 201, Topeka, KS 66614RIA
BD
CRD#: 8733
TOPEKA, KS
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 5605 Sw Barrington Court S. Suite 201, Topeka, KS 66614RIA
BD
CRD#: 8733
TOPEKA, KS
Past
November 17, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Topeka, KS
Past
December 2, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Topeka, KS
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
Kansas(11/14/2024)
IAR
Kansas(11/14/2024)
RR
Missouri(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/2/2021
General Securities Representative ExaminationGeneral Industry/Product 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 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| 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.
