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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-20
TX RA APPROVED_RES 2009-03-12
  • MN RA
    APPROVED
    Since 2013-12-20
  • TX RA
    APPROVED_RES
    Since 2009-03-12

Branch Locations

Scottsdale, AZ • United States

55033, MN • United States

1125 S. Frontage Road, Ste 5, Hastings, MN 55033 • 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
Lpl Financial Llc Hastings MN 01/2004 Present
Other Businesses

1) 2018-04-11 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Retirement Consultants / Tousignant Investment Group, LLC - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2018-03-27 - 40hrs/mth - 40hrs/mth during trading 2) 2021-07-12 - none - Other - Notary - N - at reported business location(s) - 2021-06-01 - 1hrs/mth - 0hrs/mth during trading 3) 2026-05-07 - TOUSIGNANT INVESTMENT GROUP, LLC - Non-Variable Insurance DBA - Y - at reported business location(s) - 2012-05-10 - 5hrs/mth - 2hrs/mth during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-08-16
S63 Uniform Securities Agent State Law Examination 2001-08-01
  • S65 Uniform Investment Adviser Law Examination
    2001-08-16
  • S63 Uniform Securities Agent State Law Examination
    2001-08-01

View on SEC IAPD

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