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Jonathan William Dawson

LPl Financial LLC

Chicago, IL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-02-04
IL RA APPROVED 2025-01-23
  • TX RA
    APPROVED
    Since 2025-02-04
  • IL RA
    APPROVED
    Since 2025-01-23

Branch Locations

231 S La Salle St # 13 13Th Floor, Chicago, IL 60604 • 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
Wayne Hummer Investments Frankfort IL 07/2009 01/2025
Lpl Financial Llc Frankfort IL 01/2025 Present
  • 07/2009 → 01/2025
    Wayne Hummer Investments
    Frankfort, IL
  • 01/2025 → Present
    Frankfort, IL
Previous Registrations
  • 2009-07-17 → 2025-01-23
    Wintrust Investments Llc
    Frankfort, IL
    Steger, IL
    Chicago, IL
  • 2008-10-24 → 2009-07-22
    Banc Of America Investment Services, Inc.
    Orland Park, IL
  • 2003-03-17 → 2008-10-24
    Lasalle Financial Services, Inc.
    Orland Park, IL
    Chicago, IL
    Palos Hills, IL
    Orland Park, IL
    Chicago, IL
    Palos Heights, IL
    Tinley Park, IL
    Frankfort, IL
    Palos Heights, IL
    Orland Park, IL
Other Businesses

1. 01/2025- Wintrust Insurance Services- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 07/17/2009 2. 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 07/17/2009- 166 Hours Per Month- 28 Hours During Trading 3. 01/2025- Pathlights- Non-Profit Board Member- Not INV Related- At Palos Heights, IL - Start date 10/01/2009- 2 Hours Per Month- 1 Hour During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-05-24
  • S66 Uniform Combined State Law Examination
    2002-05-24
Designations

View on SEC IAPD

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