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Haresh Roop Vaswani

LPl Financial LLC

Arlington Heights, IL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-05-05
IL RA APPROVED 2002-04-01
IN RA APPROVED 1998-12-03
FL RA APPROVED 1996-09-26
  • TX RA
    APPROVED_RES
    Since 2017-05-05
  • IL RA
    APPROVED
    Since 2002-04-01
  • IN RA
    APPROVED
    Since 1998-12-03
  • FL RA
    APPROVED
    Since 1996-09-26

Branch Locations

3275 N. Arlington Heights Road Suite # 406, Arlington Heights, IL 60004 • 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
Linsco/Private Ledger Corp. Indianapolis IN 09/1988 Present
  • 09/1988 → Present
    Linsco/Private Ledger Corp.
    Indianapolis, IN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-07-26
  • S63 Uniform Securities Agent State Law Examination
    1988-07-26
Other Names
  • Harry Vaswani

View on SEC IAPD

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