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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2021-05-10
  • WI RA
    APPROVED
    Since 2021-05-10

Branch Locations

1014 Layard Ave, Racine, WI 53402 • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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
Bmo Harris Bank Milwaukee WI 07/2011 04/2021
Bmo Harris Financial Advisors, Inc. Cudahy WI 08/2012 04/2021
Lpl Financial Llc Racine WI 05/2021 Present
  • 07/2011 → 04/2021
    Bmo Harris Bank
    Milwaukee, WI
  • 08/2012 → 04/2021
    Bmo Harris Financial Advisors, Inc.
    Cudahy, WI
  • 05/2021 → Present
    Racine, WI
Previous Registrations
  • 2012-08-01 → 2021-05-04
    Bmo Harris Financial Advisors, Inc.
    Brookfield, WI
    Cudahy, WI
    Milwaukee, WI
    Milwaukee, WI
    Chicago, IL
  • 2007-12-20 → 2012-08-01
    M&I Financial Advisors, Inc
    Brookfield, WI
    Cudahy, WI
  • 2010-05-03 → 2012-04-18
    M&I Investment Management Corp.
    Milwaukee, WI
  • 2005-07-06 → 2007-12-13
    Chase Investment Services Corp.
    Milwaukee, WI
    Milwaukee, WI
  • 2002-09-17 → 2005-07-06
    Banc One Securities Corporation
    New Orleans, LA
Other Businesses

1. 04/18/2024 - The Rave - Non-Inv Related - Milwaukee, WI - Outside/W-2 Employment - Started: 5/16/2024 - 36 Hrs/Mo; 0 Hr During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-10-01
  • S66 Uniform Combined State Law Examination
    2001-10-01
Other Names
  • Jessica Anne Winterle

View on SEC IAPD

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