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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-02-26
IL RA APPROVED 2019-02-07
  • TX RA
    APPROVED
    Since 2019-02-26
  • IL RA
    APPROVED
    Since 2019-02-07

Branch Locations

3000 Happy Landing Dr., Springfield, IL 62711 • 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 (Formerly: Linsco/Private Ledger Corp.) Springfield IL 05/2003 Present
  • 05/2003 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
    Springfield, IL
Other Businesses

1. 5/20/2016: Shore Thing Gundogs - Not Investment Related - Home Based - Other-Business Owner - Started 05/30/2016 - 2 Hours Per Month/0 Hours During Securities Trading - Owner of a Dog Kennel. Also dog trainer specializing in hunting dogs. 2. 5/23/2019 - Shores Financial LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/08/2019 - 160 Hours Per Month/130 Hours During Securities Trading. 3. 3/17/2020 - Shores Financial LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 03/05/2020 - 2 Hours Per Month During Securities Trading. 4. 3/16/2021 - Essential Wealth Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 3/15/2021 - 1 Hour Per Month/1 Hour During Securities Trading 5. 06/13/2023 - Village of Thayer - Not Investment Related - Thayer, IL - Non-Profit Board Member - Start Date 05/08/2023 - 5 Hours Per Month/ 0 Hours During Securities Trading 6. 04/23/2024 - Kelly Shores Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/22/2024 - 160 Hours Per Month/ During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-02-05
S63 Uniform Securities Agent State Law Examination 2002-12-09
  • S65 Uniform Investment Adviser Law Examination
    2019-02-05
  • S63 Uniform Securities Agent State Law Examination
    2002-12-09

View on SEC IAPD

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