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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2024-03-14
  • NE RA
    APPROVED
    Since 2024-03-14

Branch Locations

233 South 13Th St. #1107, Lincoln, NE 68508 • 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
National Planning Corporation Overbrook KS 10/2006 07/2017
Ameritime, Llc (Aka Compass Financial Resources, Llc) Olathe KS 09/2001 Present
Securities America, Inc. Lincoln NE 07/2017 03/2024
Securities America Advisors Lincoln NE 07/2017 03/2024
Compass Financial Resources Lincoln NE 07/2017 Present
Lpl Financial Lincoln NE 03/2024 Present
  • 10/2006 → 07/2017
    National Planning Corporation
    Overbrook, KS
  • 09/2001 → Present
    Ameritime, Llc (Aka Compass Financial Resources, Llc)
    Olathe, KS
  • 07/2017 → 03/2024
    Securities America, Inc.
    Lincoln, NE
  • 07/2017 → 03/2024
    Securities America Advisors
    Lincoln, NE
  • 07/2017 → Present
    Compass Financial Resources
    Lincoln, NE
  • 03/2024 → Present
    Lpl Financial
    Lincoln, NE
Previous Registrations
  • 2017-07-20 → 2024-03-13
    Securities America Advisors, Inc.
    Lincoln, NE
    Lincoln, NE
  • 2008-09-16 → 2023-03-18
    Olathe, KS
    Olathe, KS
  • 2006-11-10 → 2017-07-19
    National Planning Corporation
    Topeka, KS
    Olathe, KS
    Lincoln, NE
    Lincoln, NE
  • 2002-11-15 → 2006-10-17
    American General Securities Incorporated
    Overbrook, KS
    Houston, TX
    Olathe, KS
Other Businesses

1- 02/2024 / Compass Financial Resources / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 40 hrs during trading / At reported business location(s) 2- 02/2024 / Financial Markets, INC / Non-Variable Insurance / Investment Related / 30 hrs mth / 9 hrs during trading / Start date: 08/01/2001 3- 05/13/2024 / Ameritime, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - Advisor / Partial Owner - Started: 1/1/2000 - 60 Hrs/Mo; 2 Hrs During Trading - I provide administrative support to Ameritime, LLC, an independent investment advisor firm. I started this business activity in 01/2000. I expect to spend approximately 60 hours per month on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-10-31
S63 Uniform Securities Agent State Law Examination 2001-08-31
  • S65 Uniform Investment Adviser Law Examination
    2002-10-31
  • S63 Uniform Securities Agent State Law Examination
    2001-08-31

View on SEC IAPD

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