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Nicholas R Dragan

LPl Financial LLC

Des Peres, MO

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2021-11-23
  • MO RA
    APPROVED
    Since 2021-11-23

Branch Locations

13358 Manchester Rd Ste 200, Des Peres, MO 63131 • 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
Metlife Securities Inc. St. Louis MO 01/2015 03/2017
Massmutual Life Insurance Company Chesterfield MO 07/2016 11/2021
Mml Investors Services, Llc Chesterfield MO 03/2017 11/2021
Lpl Financial Llc Des Peres MO 11/2021 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    St. Louis, MO
  • 07/2016 → 11/2021
    Massmutual Life Insurance Company
    Chesterfield, MO
  • 03/2017 → 11/2021
    Chesterfield, MO
  • 11/2021 → Present
    Des Peres, MO
Previous Registrations
Other Businesses

1) 11/19/2021 - The Planify Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - start: 11/2021 2) 11/19/2021 - Cornerstone Wealth Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 3) 11/19/2021 - Dragan¿s Resort @Higgins Lake - Real Estate Rental - Owner/landlord - Non-Inv Rel - Roscommon, MI - Start: 2018 - 4 Hr/Mth 4) 03/01/2022 - The Insurance Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Broker - Start Date - 03/01/2022 - 5 Hours Per Month/5 Hours During Securities Trading. 5) 2/14/2023 - Cornerstone Wealth Portfolios - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 2/1/2023 6) 09/20/2024 - HockeyCardShow- Other - Hockey Card Show Hobby Box Breaks - Not Investment Related - 131 Prospect Avenue Kirkwood MO 63122- Start Date 03/01/2024- 10 Hours Per Month/ 2 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-09-27
  • S66 Uniform Combined State Law Examination
    2001-09-27
Designations

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