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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2026-07-06
  • MI RA
    APPROVED
    Since 2026-07-06

Branch Locations

414 East Street, Rochester, MI 48307 • 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
Sigma Financial Corporation Ann Arbor MI 07/2005 07/2026
Lpl Financial Llc Rochester MI 07/2026 Present
  • 07/2005 → 07/2026
    Sigma Financial Corporation
    Ann Arbor, MI
  • 07/2026 → Present
    Rochester, MI
Other Businesses

1. 06/2026 - Aquest Wealth Strategies - DBA for LPL Business (entity for LPL business) - Inv Related – 160 Hour(s)/Month – 130 Hour(s) During Trading – Rochester Hills, MI, 48306 – OBA Start Date: 7/6/2026

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-03-09
  • S63 Uniform Securities Agent State Law Examination
    1988-03-09
Designations
Other Names
  • Lorri Lyn Mathis

View on SEC IAPD

Other Firms

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