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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2023-07-10 |
| KY | RA | APPROVED | 2023-07-10 |
| MD | RA | APPROVED | 2023-07-10 |
| MI | RA | APPROVED | 2023-07-10 |
| WI | RA | APPROVED | 2023-07-10 |
| CA | RA | APPROVED | 2021-07-21 |
| CO | RA | APPROVED | 2021-07-21 |
| FL | RA | APPROVED | 2021-07-21 |
| GA | RA | APPROVED | 2021-07-21 |
| IL | RA | APPROVED | 2021-07-21 |
| IN | RA | APPROVED | 2021-07-21 |
| KS | RA | APPROVED | 2021-07-21 |
| MN | RA | APPROVED | 2021-07-21 |
| MO | RA | APPROVED | 2021-07-21 |
| NC | RA | APPROVED | 2021-07-21 |
| OH | RA | APPROVED | 2021-07-21 |
| PA | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
| VA | RA | APPROVED | 2021-07-21 |
| WA | RA | APPROVED | 2021-07-21 |
Branch Locations
1220 Kensington Rd; Ste 200B, Oak Brook, IL 60523 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc | Oak Brook | IL | 08/2000 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Downers Grove | IL | 01/2001 | 07/2021 |
| Marilyn Seagraves | Oak Brook | IL | 01/2001 | 07/2021 |
| Seagraves Financial Group, Llc | Lombard | IL | 04/2013 | 07/2021 |
| Cms Office Management, Llc | Oak Brook | IL | 10/2019 | 07/2021 |
| Lpl Financial Llc | Oak Brook | IL | 07/2021 | Present |
1. 04/04/2022 - One For the Kids - Not Investment Related - Non-Profit Board Member - Start Date - 01/2008 - 3 Hours Per Month/0 Hours During Securities Trading. 2. 04/04/2022 - Seagraves Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 4/1/2013. 3. 04/04/2022 - Seagraves Financial Group, LLC - Not Investment Related - 12 E. View Street, Lombard , IL, , 60148 - Business Entity For Tax/Investment Purposes Only - Start Date - 04/01/2013. 4. 04/04/2022 - Associates of Clifton Park - Investment Related - 747 Pierce Rd., Clifton Park, NY 12065 - Insurance Agency -1 Hours Per Month. 5. 04/04/2022 - CMS Office Management LLC - Not Investment Related - 346 Marion Ave., Glen Ellyn , IL, , 60137 - 346 Marion Ave., Glen Ellyn , IL, , 60137 - Start Date - 10/01/2019 - 1 Hours Per Month.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2000-12-18 |
| S65 | Uniform Investment Adviser Law Examination | 2000-11-20 |
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