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Kevin John Mccormick

LPl Financial LLC

Waukesha, WI

Delafield, WI

Pewaukee, WI

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2021-03-24
  • WI RA
    APPROVED
    Since 2021-03-24

Branch Locations

N14 W23999 Stoneridge Dr, Waukesha, WI 53188 • United States

2700 Golf Road, Delafield, WI 53018 • United States

Pewaukee, WI • 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
M&I Brokerage Services Waukesha WI 12/2004 Present
Bmo Harris Bank Na Milwaukee WI 07/2011 Present
M&I Insurance Svcs Inc Milwaukee WI 12/2004 Present
M&I Trust Company Milwaukee WI 12/2004 Present
Bmo Harris Financial Advisors, Inc. Waukesha WI 08/2012 Present
Lpl Financial Llc Waukesha WI 03/2021 Present
  • 12/2004 → Present
    M&I Brokerage Services
    Waukesha, WI
  • 07/2011 → Present
    Bmo Harris Bank Na
    Milwaukee, WI
  • 12/2004 → Present
    M&I Insurance Svcs Inc
    Milwaukee, WI
  • 12/2004 → Present
    M&I Trust Company
    Milwaukee, WI
  • 08/2012 → Present
    Bmo Harris Financial Advisors, Inc.
    Waukesha, WI
  • 03/2021 → Present
    Lpl Financial Llc
    Waukesha, WI
Previous Registrations
  • 2012-08-01 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Delafield, WI
    Waukesha, WI
    Chicago, IL
  • 2005-09-15 → 2012-08-01
    M&I Financial Advisors, Inc
    Brookfield, WI
    Waukesha, WI
    Waukesha, WI
    Mukwonago, WI
    Delafield, WI
  • 2010-04-28 → 2012-04-19
    M&I Investment Management Corp.
    Milwaukee, WI
Other Businesses

1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - WAUKESHA, WI

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-10-13
S63 Uniform Securities Agent State Law Examination 1999-07-29
  • S65 Uniform Investment Adviser Law Examination
    2005-10-13
  • S63 Uniform Securities Agent State Law Examination
    1999-07-29

View on SEC IAPD

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