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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2025-02-11
TX RA APPROVED 2025-02-11
  • MO RA
    APPROVED
    Since 2025-02-11
  • TX RA
    APPROVED
    Since 2025-02-11

Branch Locations

2851 Independence Street, Cape Girardeau, MO 63703 • 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
Woodbury Financial Services, Inc Cape Girardeau MO 06/2010 08/2018
Cetera Advisor Networks Llc El Segundo CA 08/2018 02/2025
Cetera Investment Advisers Llc Schaumburg IL 06/2023 02/2025
Lpl Enterprise Cape Girardeau MO 02/2025 Present
  • 06/2010 → 08/2018
    Woodbury Financial Services, Inc
    Cape Girardeau, MO
  • 08/2018 → 02/2025
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 06/2023 → 02/2025
    Schaumburg, IL
  • 02/2025 → Present
    Lpl Enterprise
    Cape Girardeau, MO
Previous Registrations
  • 2023-06-29 → 2025-02-27
    Cape Girardeau, MO
  • 2018-08-31 → 2023-06-29
    Cetera Wealth Services, Llc
    Cape Girardeau, MO
    Tulsa, OK
  • 2010-06-04 → 2018-09-07
    Woodbury Financial Services, Inc.
    Cape Girardeau, MO
    Cape Girardeau, MO
    Oakdale, MN
  • 2007-01-01 → 2010-06-15
    First Allied Advisory Services, Inc.
    Cape Girardeau, MO
    Chesterfield, MO
    Cape Girardeau, MO
  • 2000-01-06 → 2007-01-01
    Ffp Advisory Services Inc
    Cape Girardeau, MO
Other Businesses

1. 02/06/2025 - Copper Cove, LLC - Real Estate Rental - INV REL - Cape Girardeau, MO - Start Date 08/01/2019 - 0hrs/MTH 2. 02/06/2025 - Pathfinder Financial Advisors, LLC - DBA for LPL Business (entity for LPL business) - INV REL - At reported business location(s) - Start Date 01/31/2005 - 200 hrs/MTH

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-24
S63 Uniform Securities Agent State Law Examination 1999-10-25
  • S65 Uniform Investment Adviser Law Examination
    1999-11-24
  • S63 Uniform Securities Agent State Law Examination
    1999-10-25
Other Names
  • Tom Harold

View on SEC IAPD

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