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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2023-10-31
  • KS RA
    APPROVED
    Since 2023-10-31

Branch Locations

4910 Corporate Centre Drive Suite 101, Lawrence, KS 66047 • United States

7381 W 133Rd St Ste 200, Overland Park, KS 66213 • United States

Lawrence, KS • 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
Liberty Star Lawrence KS 11/2001 10/2023
National Planning Corporation Topeka KS 03/2004 09/2017
Cambridge Investment Research, Inc. Fairfield IA 09/2017 10/2023
Cambridge Investment Research Advisors, Inc. Fairfield IA 09/2017 10/2023
Lpl Financial Llc Lawrence KS 10/2023 Present
  • 11/2001 → 10/2023
    Liberty Star
    Lawrence, KS
  • 03/2004 → 09/2017
    National Planning Corporation
    Topeka, KS
  • 09/2017 → 10/2023
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 09/2017 → 10/2023
    Fairfield, IA
  • 10/2023 → Present
    Lawrence, KS
Previous Registrations
  • 2017-09-15 → 2023-11-03
    Lawrence, KS
    Lawrence, KS
    Lawrence, KS
    Overland Park, KS
    Topeka, KS
  • 2004-03-26 → 2017-09-19
    National Planning Corporation
    Topeka, KS
    Lawrence, KS
    Lawrence, KS
    Overland Park, KS
    Topeka, KS
  • 2004-01-15 → 2004-03-26
    Legacy Advisory Services, Inc.
    Lawrence, KS
Other Businesses

1) 10/2023 - DM Bruce Associates, LLC - Business Entity For Tax/Investment Purposes Only - Non-inv. Related - Lawrence, KS - Business entity not held to public- Start Date 5/14/2007 - 120hrs/month - 80% time spent 2) 10/2023 - Finishing and Selling Tables - Other - Non-inv. Related - Lawrence, KS - Owner - Start Date 10/26/2023 - 0hrs/month - 0% time spent 3) 10/2023 - Legal Shield - Attorney/Legal Services - Non-inv. Related - Ada, OK - Standard legal plans - Start Date 6/11/1999 - 1hr/month - 1% time spent 4) 10/2023 - DMBRUCE WEALTH SOLUTIONS - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 5) 10/2023 - WALTER E JAMISON - Non-Variable Insurance - Inv. Related - LAWRENCE, KS - Agent Selling Insurance- Start Date 1/1/2018 - 1hr/month - 5% time spent 6) 10/02/2024 - DM BRUCE OWNER SOLUTIONS - Tax Prep/Accounting/CPA - Relationship Manager - Investment Related - At Reported Business Location(s) - Start Date 06/03/2024 - 5 Hours Per Month/ During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-12-23
S63 Uniform Securities Agent State Law Examination 1999-01-23
  • S65 Uniform Investment Adviser Law Examination
    2003-12-23
  • S63 Uniform Securities Agent State Law Examination
    1999-01-23
Other Names
  • Halter Ezra Jamison

View on SEC IAPD

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