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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2018-02-14
  • PA RA
    APPROVED
    Since 2018-02-14

Branch Locations

1605 Lititz Pike, Lancaster, PA 17601 • United States

4620 West Penn Avenue, Sinking Spring, PA 19608 • United States

4620 West Penn Avenue, Sinking Spring, PA 19608 • United States

4363 Perkiomen Ave., Reading, PA 19606 • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Santander Securities Llc Guaynabo PR 09/2012 09/2016
Members 1St Federal Credit Union Lititz PA 12/2016 Present
Invest Financial Corporation Tampa FL 04/2017 02/2018
Lpl Financial Llc Ephrata PA 02/2018 Present
  • 09/2012 → 09/2016
    Guaynabo, PR
  • 12/2016 → Present
    Members 1St Federal Credit Union
    Lititz, PA
  • 04/2017 → 02/2018
    Invest Financial Corporation
    Tampa, FL
  • 02/2018 → Present
    Ephrata, PA
Previous Registrations
  • 2017-04-20 → 2018-02-14
    Invest Financial Corporation
    Lititz, PA
    Lancaster, PA
    Lancaster, PA
    Ephrata, PA
    Lancaster, PA
    Lancaster, PA
  • 2014-01-03 → 2016-10-25
    Robesonia, PA
    Wyomissing, PA
    Wyomissing, PA
    Ephrata, PA
    Reading, PA
    Lititz, PA
    Yardley, PA
    Harrisburg, PA
    Laureldale, PA
    Reading, PA
    Wyomissing, PA
    Kutztown, PA
    Kutztown, PA
    Wyomissing, PA
    Wyomissing, PA
    Bethlehem, PA
    Wyomissing, PA
    Shillington, PA
    Wyomissing, PA
Other Businesses

1. 02/14/2018 - Members 1st Federal Credit Union - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Financial Advisor. 2. 02/14/2018 - Members 1st Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 4/10/2018 - Members 1st Federal Credit Union - DBA: Members 1st Investment Services and Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/01/2018 - 160 Hours Per Month/8 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-12-21
S63 Uniform Securities Agent State Law Examination 2007-12-21
  • S66 Uniform Combined State Law Examination
    2013-12-21
  • S63 Uniform Securities Agent State Law Examination
    2007-12-21

View on SEC IAPD

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