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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2015-04-30
  • PA RA
    APPROVED
    Since 2015-04-30

Branch Locations

5910 State Route 92, Kingsley, PA 18826 • United States

841 Main Street, New Milford, PA 18834 • United States

3 John F Kennedy Drive, Archbald, PA 18403 • United States

29 Quaker Lake Rd, Friendsville, PA 18818 • United States

25036 State Route 11, Hallstead, PA 18822 • United States

36 Public Ave, Montrose, PA 18801 • 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
Lpl Montrose PA 04/2015 Present
Nbt Bank Montrose PA 04/2015 Present
  • 04/2015 → Present
    Lpl
    Montrose, PA
  • 04/2015 → Present
    Nbt Bank
    Montrose, PA
Previous Registrations
  • 2014-06-23 → 2015-04-23
    Cuna Brokerage Services, Inc.
    Waverly, IA
    Binghamton, NY
  • 2007-01-12 → 2014-06-04
    Invest Financial Corporation
    Dunmore, PA
  • 2005-12-02 → 2007-01-10
    Avoca, PA
    Peckville, PA
  • 2005-04-18 → 2005-10-26
    Moosic, PA
Other Businesses

1. 04/30/15-TJS UNLIMITED DBA MR SANDLESS SCNY/OTHER - FAMILY BUSINESS/1. I AM THE BOOKKEEPER FOR MY HUSBANDS COMPANY 2. PRESIDENT.. BOOK KEEPER 3. N 3.A NULL 4. Y 5. N/1%/353 N MAIN ST ARCHBALD PA 18403 2. 09/21/2015 - NBT Insurance Agency - Non-Variable Insurance - inv rel - at reported business location(s) - start 09/03/2015 - 5 hrs/mo during secs trdg hrs. 3. 05/02/2019 - NBT INVESTMENT SERVICES - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:5/2/2019 - 0 hrs/mo - 0 hrs during trading. 4. 4/27/2021 - No Business Name - Not Investment Related - Home Based - Other-Breeding Puppies - Start Date: 1/1/2021 - 5 Hours Per Month/0 Hours During Securities Trading - Own Golden Retrievers and breed them for sale at home.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-04-08
S63 Uniform Securities Agent State Law Examination 2000-12-07
  • S65 Uniform Investment Adviser Law Examination
    2005-04-08
  • S63 Uniform Securities Agent State Law Examination
    2000-12-07
Other Names
  • Jill Kirsten Burnham
  • Jill Kirsten Swanholm

View on SEC IAPD

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