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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-08-31
  • IL RA
    APPROVED
    Since 2021-08-31

Branch Locations

2340 S River Road, Suite 108, Des Plaines, IL 60018 • 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
Lpl Financial, Llc Des Plaines IL 05/2014 Present
Level Four Advisory Services, Llc Des Plaines IL 05/2014 08/2021
  • 05/2014 → Present
    Des Plaines, IL
  • 05/2014 → 08/2021
    Level Four Advisory Services, Llc
    Des Plaines, IL
Previous Registrations
  • 2014-05-08 → 2021-08-31
    Chicago, IL
    Dallas, TX
    Desplaines, IL
  • 2004-04-14 → 2014-05-06
    New England Securities
    Chicago, IL
    Northbrook, IL
  • 1998-06-10 → 2004-02-27
    Osaic Fa, Inc.
    Chicago, IL
Other Businesses

1. 5/1/2014 - LEVEL FOUR INSURANCE SERVICES, LLC - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 25% - LINES OFFERED: TERM, WHOLE, DI, HEALTH, FIXED. 2. 07/02/2024 - CMDS INSURANCE BROKERAGE - Insurance Agency - Owner - Investment Related - At Reported Business Location(s) - Start Date 05/22/2024 - 15 Hours Per Month/ 5 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-20
S63 Uniform Securities Agent State Law Examination 1991-12-12
  • S65 Uniform Investment Adviser Law Examination
    1998-05-20
  • S63 Uniform Securities Agent State Law Examination
    1991-12-12
Other Names
  • Don Sakamoto

View on SEC IAPD

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