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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2025-01-23
  • IL RA
    APPROVED
    Since 2025-01-23

Branch Locations

150 East Butterfield Road, Elmhurst, IL 60126 • United States

357 Roosevelt Road, Glen Ellyn, IL 60137 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Bloomingdale IL 10/2012 Present
Wayne Hummer Investments Llc Wood Dale IL 04/2013 01/2025
Lpl Financial Llc Glen Ellyn IL 01/2025 Present
Previous Registrations
  • 2013-04-08 → 2025-01-23
    Wintrust Investments Llc
    Wood Dale, IL
    Chicago, IL
    Elmhurst, IL
    Elmhurst, IL
    Glen Ellyn, IL
    Wheaton, IL
  • 2012-10-01 → 2013-04-08
    Bloomingdale, IL
  • 2005-07-06 → 2012-10-01
    Chase Investment Services Corp.
    Bloomingdale, IL
    Chicago, IL
  • 1999-11-12 → 2005-07-06
    Banc One Securities Corporation
    Bloomingdale, IL
Other Businesses

1. 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 09/12/2024- 160 Hours Per Month- 100 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-05-19
S63 Uniform Securities Agent State Law Examination 1990-05-03
  • S65 Uniform Investment Adviser Law Examination
    1995-05-19
  • S63 Uniform Securities Agent State Law Examination
    1990-05-03

View on SEC IAPD

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