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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2022-09-29
MN RA APPROVED 2013-12-20
TX RA APPROVED_RES 2012-07-05
  • WI RA
    APPROVED
    Since 2022-09-29
  • MN RA
    APPROVED
    Since 2013-12-20
  • TX RA
    APPROVED_RES
    Since 2012-07-05

Branch Locations

3712 Beard Ave N, Minneapolis, MN 55422-2310 • United States

Webster, 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
Lpl Financial Llc Minneapolis MN 06/2012 Present
Previous Registrations
Other Businesses

1. 7/24/2012: RITTEN WEALTH MANAGEMENT GROUP - Business Entity For Tax/Investment Purposes Only - INV REL - AT REPORTED BUSINESS LOCATION - not marketed to the public; for accounting purposes only. 2. 10/22/2013: Ritten Wealth Managerment - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-05-31
S63 Uniform Securities Agent State Law Examination 1994-10-28
  • S66 Uniform Combined State Law Examination
    2005-05-31
  • S63 Uniform Securities Agent State Law Examination
    1994-10-28
Other Names
  • Tom Ritten
  • Thomas J Ritten

View on SEC IAPD

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