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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-05-19
  • FL RA
    APPROVED
    Since 2022-05-19

Branch Locations

5 Del Prado Blvd S, Cape Coral, FL 33990 • United States

1730 Cape Coral Pkwy W, Cape Coral, FL 33914 • 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
Triad Advisors, Inc. Norcross GA 11/2015 09/2018
Diversified Financial Concepts Sebring FL 01/2010 Present
Lineweaver Wealth Advisors Valley View OH 11/2015 09/2018
Cuna Brokerage Services, Inc. Waverly IA 10/2018 Present
Suncoast Cu Tampa FL 10/2018 Present
Lpl Financial Llc Punta Gorda FL 05/2022 Present
  • 11/2015 → 09/2018
    Triad Advisors, Inc.
    Norcross, GA
  • 01/2010 → Present
    Diversified Financial Concepts
    Sebring, FL
  • 11/2015 → 09/2018
    Valley View, OH
  • 10/2018 → Present
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 10/2018 → Present
    Suncoast Cu
    Tampa, FL
  • 05/2022 → Present
    Punta Gorda, FL
Previous Registrations
  • 2018-12-17 → 2022-05-24
    Cuna Brokerage Services, Inc.
    Port Charlotte, FL
    North Port, FL
    Wauchula, FL
    Punta Gorda, FL
    Wauchula, FL
    Waverly, IA
  • 2015-12-11 → 2016-12-31
    Lake Wales, FL
    Valley View, OH
  • 2007-08-07 → 2016-03-03
    Smart Money Concepts, Llc
    Sebring, FL
  • 2004-09-02 → 2006-07-19
    Usallianz Securities, Inc.
    Clearwater, FL
    Sebring, FL
    Sebring, FL
  • 2003-05-19 → 2004-09-07
    Sebring, FL
Other Businesses

1) 05/18/2022 - Suncoast Investment Services-Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2) 05/18/2022 - No Business Name - Investment Related - Port Charlotte, Florida - NVI Trails only - Start Date- 2001 - 2 Hours Per Month/ 2 Hours During Securities Trading 3) 05/18/2022 - Suncoast Credit Union-Investment Related - At Reported Business Location(s) - - Senior Financial Institution - Financial Advisor- Start Date 10/9/2018- 160 Hours Per Month/ 160 Hours During Securities Trading 4) 04/16/2024 - Other - Ride sharing business - Owner - Not Investment Related - Home Based - Start Date 04/20/2024 - 30 Hours Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-04-23
S65 Uniform Investment Adviser Law Examination 2000-06-09
  • S63 Uniform Securities Agent State Law Examination
    2016-04-23
  • S65 Uniform Investment Adviser Law Examination
    2000-06-09
Designations

View on SEC IAPD

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