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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-01-09
DE RA APPROVED 2022-01-18
NJ RA APPROVED 2018-10-15
  • FL RA
    APPROVED
    Since 2026-01-09
  • DE RA
    APPROVED
    Since 2022-01-18
  • NJ RA
    APPROVED
    Since 2018-10-15

Branch Locations

The Villages, FL • United States

Wilmington, DE • United States

Disclosures

1 disclosure category 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Pnc Investments Pittsburgh PA 03/2004 10/2018
Lpl Financial Bedminster NJ 10/2018 Present
  • 03/2004 → 10/2018
    Pnc Investments
    Pittsburgh, PA
  • 10/2018 → Present
    Lpl Financial
    Bedminster, NJ
Previous Registrations
  • 2004-06-02 → 2018-10-18
    Edison, NJ
    Edison, NJ
    Edison, NJ
    Raritan, NJ
    Piscataway, NJ
    Piscataway, NJ
    Piscataway, NJ
    Somerset, NJ
    South Plainfield, NJ
    Piscataway, NJ
    Edison, NJ
    Green Brook, NJ
    Edison, NJ
    Edison, NJ
    Edison, NJ
    Edison, NJ
    Piscataway, NJ
    Edison, NJ
    Green Brook, NJ
Other Businesses

1) 10/12/2018 - DBA for LPL Business (entity for LPL business) - Gladstone Advisors - 100% - Bedminster, NJ 2) 10/12/2018 - Non-Variable Insurance - Michael Schneider - 5% - Bedminster, NJ

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-05-25
S63 Uniform Securities Agent State Law Examination 1989-08-25
  • S65 Uniform Investment Adviser Law Examination
    2004-05-25
  • S63 Uniform Securities Agent State Law Examination
    1989-08-25

View on SEC IAPD

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