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Current Employers
Lpl Financial Llc

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

Current Registrations

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

Branch Locations

1145 N Arlington Heights Road, Itasca, IL 60143 • United States

1180 E. Higgins Rd, Schaumburg, IL 60173 • 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
J.P. Morgan Securities Llc Schaumburg IL 10/2012 07/2017
Wayne Hummer Investments Llc Chicago IL 07/2017 01/2025
Lpl Financial Llc Itasca IL 01/2025 Present
Previous Registrations
  • 2017-07-21 → 2025-01-23
    Wintrust Investments Llc
    Schaumburg, IL
    Chicago, IL
    Itasca, IL
  • 2012-10-01 → 2017-08-02
    Schaumburg, IL
    Schaumburg, IL
  • 2009-05-19 → 2012-10-01
    Chase Investment Services Corp.
    Schaumburg, IL
    Schaumburg, IL
  • 2008-10-24 → 2009-05-05
    Banc Of America Investment Services, Inc.
    Bloomingdale, IL
  • 2003-06-23 → 2008-10-24
    Lasalle Financial Services, Inc.
    St. Charles, IL
    Batavia, IL
    St. Charles, IL
    Chicago, IL
    Chicago, IL
    Bloomingdale, IL
    Wheaton, IL
    Carol Stream, IL
    Elgin, IL
    West Dundee, IL
    Chicago, IL
    Chicago, IL
  • 2002-12-18 → 2003-05-01
    Morgan Stanley Dw Inc.
    Oak Brook, IL
Other Businesses

1. 01/2025- Wintrust investments Insurance Agency- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 07/01/2017- 1 Hour Per Month- 1 Hour During Trading 2. 01/2025- Wintrust investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 07/01/2017- 160 Hours Per Month- 140 Hours During Trading 3. 01/2025- Chicago Area Runners Association- Non-profit volunteer (not on board)- Not INV Related- At Reported Business Location(s)- Start date 06/01/2024 4. 07/17/2026 - Everyset Casting - Artist/ Musician - Not Investment Related - Culver City, CA - Start Date 07/15/2026 - 14 hours per month/ during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-06-19
S63 Uniform Securities Agent State Law Examination 2002-05-31
  • S65 Uniform Investment Adviser Law Examination
    2002-06-19
  • S63 Uniform Securities Agent State Law Examination
    2002-05-31

View on SEC IAPD

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