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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2009-12-16
  • MI RA
    APPROVED
    Since 2009-12-16

Branch Locations

28411 Northwestern Hwy #1200, Southfield, MI 48034 • United States

West Bloomfield, MI • 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 Financial, Llc Southfield MI 12/2009 Present
Previous Registrations
  • 2009-10-05 → 2009-12-22
    Farmington Hills, MI
  • 2007-08-30 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    West Bloomfield, MI
    West Bloomfield, MI
Other Businesses

1. 12/11/2009 - NO BUSINESS NAME - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - TIME SPENT 2% - SELLING FIXED ANNUITIES, INSURANCE, LTC, UNIVERSAL LIFE, AND DISABILITY INSURANCE. 2. 12/11/2009 - AMERICA GROUP RETIREMENT STRATEGY CENTERS - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 3. 3/27/2012 - BORDELOVE/FOSTER WEALTH MANAGEMENT, LLC - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-28
S65 Uniform Investment Adviser Law Examination 2001-02-05
S63 Uniform Securities Agent State Law Examination 2000-12-05
  • S66 Uniform Combined State Law Examination
    2007-08-28
  • S65 Uniform Investment Adviser Law Examination
    2001-02-05
  • S63 Uniform Securities Agent State Law Examination
    2000-12-05

View on SEC IAPD

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