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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-12-26
TX RA APPROVED_RES 2023-10-20
  • IL RA
    APPROVED
    Since 2023-12-26
  • TX RA
    APPROVED_RES
    Since 2023-10-20

Branch Locations

444 W Lake St. Suite 1762, Chicago, IL 60606 • United States

444 W Lake St. Suite 1764, Chicago, IL 60606 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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
Metlife Securities Chicago IL 07/2015 03/2017
Mml Investors Services Chicago IL 03/2017 10/2023
Mass Mutual Life Insurance Company Chicago IL 07/2016 10/2023
Lpl Financial Llc Chicago IL 10/2023 Present
  • 07/2015 → 03/2017
    Metlife Securities
    Chicago, IL
  • 03/2017 → 10/2023
    Mml Investors Services
    Chicago, IL
  • 07/2016 → 10/2023
    Mass Mutual Life Insurance Company
    Chicago, IL
  • 10/2023 → Present
    Chicago, IL
Previous Registrations
  • 2017-03-25 → 2023-11-01
    Chicago, IL
    Chicago, IL
  • 2015-07-17 → 2017-03-25
    Msi Financial Services, Inc.
    Chicago, IL
    Chicago, IL
  • 2010-07-02 → 2015-07-24
    Chicago, IL
    New York, NY
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Elk Grove Village, IL
    Schaumburg, IL
    Arlington Heights., IL
    Arlington Heights, IL
    Chicago, IL
    Chicago, IL
    Tampa, FL
    San Antonio, TX
    San Antonio, TX
    Chicago, IL
    Long Island City, NY
    Chicago, IL
  • 2009-12-21 → 2010-06-22
    Invest Financial Corporation
    Appleton, WI
    Fincastle, VA
  • 2006-03-14 → 2009-09-28
    Msi Financial Services, Inc.
    Waynesville, NC
    Oak Brook, IL
    Oak Brook, IL
  • 2000-11-22 → 2004-10-12
    Schaumburg, IL
Other Businesses

1) 09/27/2023 - +1 Group - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 09/27/2023 - Plus 1 Group - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 3) 09/14/2023 - +1 GROUP - Non-Variable Insurance - Selling: Fixed annuities, whole life insurance - ASH or Crump - IL 60606 - Investment related - 4 Hours per month - Start date: 10/19/2023. 4) 09/27/2023 - +1Group - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-20
  • S66 Uniform Combined State Law Examination
    2000-10-20
Other Names
  • Stephanie Jane Smith
  • Stephanie Jane Naeemullah
  • Stephanie J O'HAra
  • Stephanie J Ohara

View on SEC IAPD

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