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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2025-01-01
TX RA APPROVED 2024-01-08
  • WI RA
    APPROVED
    Since 2025-01-01
  • TX RA
    APPROVED
    Since 2024-01-08

Branch Locations

227521 Harrier Ave, Wausau, WI 54401 • United States

477 South 3Rd Street Suite 220, Geneva, IL 60134 • 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
Ohio National Life Insurance Cincinnati OH 07/2001 Present
Sagepoint Financial Advisors Wausau WI 02/2011 01/2024
Third Street Advisors, Llc Geneva IL 07/2022 Present
Third Street Advisors, Llc Geneva IL 07/2022 Present
Osaic Wealth, Inc. Wausau WI 09/2023 01/2024
Lpl Financial Llc Wausau WI 01/2024 Present
  • 07/2001 → Present
    Ohio National Life Insurance
    Cincinnati, OH
  • 02/2011 → 01/2024
    Sagepoint Financial Advisors
    Wausau, WI
  • 07/2022 → Present
    Third Street Advisors, Llc
    Geneva, IL
  • 07/2022 → Present
    Third Street Advisors, Llc
    Geneva, IL
  • 09/2023 → 01/2024
    Wausau, WI
  • 01/2024 → Present
    Wausau, WI
Previous Registrations
  • 2022-07-22 → 2024-04-30
    Third Street Advisors, Llc
    Wausau, WI
    Geneva, IL
  • 2023-09-01 → 2024-01-18
    Wausau, WI
  • 2011-02-08 → 2023-09-01
    Osaic Services, Inc.
    Scottsdale, AZ
    Wausau, WI
  • 2005-04-11 → 2011-03-31
    Equity Design Advisors, Llc
    Green Bay, WI
    Wausau, WI
    Wausau, WI
  • 2009-08-11 → 2010-12-31
    Wausau, WI
    Cincinnati, OH
  • 2003-08-20 → 2004-12-09
    Wausau, WI
Other Businesses

1)01/03/2024 - Equity Design Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 01/2024 - 160 Hr/Mth 2)01/03/2024 - Equity Design Group - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 01/2024 - 10 Hr/Mth 3)01/03/2024 - Alpha Dog Advisors LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - Wausau, WI - Start: 01/2024 - 160 Hr/Mth 4)01/03/2024 - Four Way Properties LLC - Real Estate Rental - Inv Rel - Wausau, WI - Start - 01/2024 - 1 Hr/Mth

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-17
S63 Uniform Securities Agent State Law Examination 1989-05-17
  • S65 Uniform Investment Adviser Law Examination
    1994-10-17
  • S63 Uniform Securities Agent State Law Examination
    1989-05-17
Designations

View on SEC IAPD

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