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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2009-09-11
  • FL RA
    APPROVED
    Since 2009-09-11

Branch Locations

853 Main Street Suite A, Safety Harbor, FL 34695 • United States

20719 Sterlington Dr Ste 101, Land O Lakes, FL 34638-4383 • 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 Land O Lakes FL 09/2009 Present
Previous Registrations
  • 2009-02-26 → 2009-09-28
    Mutual Service Corporation
    Land O Lakes, FL
    Boston, MA
  • 2005-05-09 → 2009-02-23
    Banc Of America Investment Services, Inc.
    Tampa, FL
    Weeki Wachee, FL
    Tampa, FL
  • 1996-01-05 → 2005-05-27
    Tampa, FL
Other Businesses

1. 09/15/2009: NO BUSINESS NAME - ARBITRATOR - 5% OF TIME SPENT - INDUSTRY ARBITRATOR FOR FINRA IN ADJUDICATING DISPUTES 2. 10/07/2009: TAMPA BAY WEALTH ADVISORY SERVICES - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) 3. 05/10/2012: JERROLD E. SLUTZKY, ATTORNEY AT LAW - ATTORNEY AT LAW - 15% OF TIME SPENT - PRACTICE LAW IN WILLS, TRUSTS AND ESTATE PLANNING, ELDER LAW MATTERS, AND BUY-SELL AGREEMENTS FOR BUSINESSES AND SETTING-UP BUSINESS ENTITIES. 4. 05/30/2012: NO BUSINESS NAME - NOT INV REL - NOTARY - NO TIME SPENT - PROVIDE NOTARY SERVICES 5. 05/07/2015: NIGHTINGALE LAW FIRM - INV REL - 853 MAIN STREET, SUITE A, SAFETY HARBOR, FL 34695 - REAL ESTATE RENTAL - START 01/01/2015 - 1 HR/MO NONE DURING SECS TRDG HRS - PROPERTY OWNER. 6. 10/20/2017 - No Business Name - Not Investment Related - Other-Book - Started 10/06/2017 - 0 Hours Per Month - Author of Book. 7. 10/24/2017 - My Everything File, LLC - Not Investment Related - At Reported Business Location(s) - Other-Business Owner - 5 Hours Per Month/0During Securities Trading - Author of a book entitled "My Everything File," which will be sold on Amazon, Barnes & Noble, and on a website www.myeverythingfile.com.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-05-13
S63 Uniform Securities Agent State Law Examination 1989-02-22
  • S65 Uniform Investment Adviser Law Examination
    1994-05-13
  • S63 Uniform Securities Agent State Law Examination
    1989-02-22
Designations

View on SEC IAPD

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