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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-09-07
TX RA APPROVED 2020-07-14
WI RA APPROVED 2020-06-01
  • IL RA
    APPROVED
    Since 2023-09-07
  • TX RA
    APPROVED
    Since 2020-07-14
  • WI RA
    APPROVED
    Since 2020-06-01

Branch Locations

390 E Congress Pkwy Ste 390-E, Crystal Lake, IL 60014 • United States

100 S Saunders Rd, Lake Forest, IL 60045 • United States

Waterford, WI • 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
Securities America, Inc. Vernon Hills IL 12/2013 05/2019
Securities America Advisors Vernon Hills IL 12/2013 05/2019
Lpl Financial, Llc Waterford WI 05/2019 Present
  • 12/2013 → 05/2019
    Securities America, Inc.
    Vernon Hills, IL
  • 12/2013 → 05/2019
    Securities America Advisors
    Vernon Hills, IL
  • 05/2019 → Present
    Waterford, WI
Previous Registrations
  • 2013-12-16 → 2019-06-03
    Securities America Advisors, Inc.
    Crystal Lake, IL
    Vernon Hills, IL
    Evanston, IL
  • 2009-10-29 → 2013-12-19
    Libertyville, IL
    Hawthorn Woods, IL
  • 2009-10-29 → 2011-01-26
    Libertyville Financial Group, Ltd.
    Libertyville, IL
  • 2005-11-08 → 2009-10-30
    Securian Financial Services, Inc.
    Deerfield, IL
  • 2005-02-16 → 2005-11-04
    Joilet, IL
  • 2005-01-05 → 2005-03-09
    Pmg Asset Management Inc
    Joliet, IL
  • 2003-06-06 → 2004-12-31
    Pmg Securities Corporation
    Joliet, IL
Other Businesses

1) 01/2012 - DBA for LPL Business (entity for LPL business) - Dorion Gray Retirement Planning - INVESTMENT RELATED - EVANSTON, IL 60202 2) 05/2019 - DBA for LPL Business (entity for LPL business) - Professional Wealth Advisors - INVESTMENT RELATED - PLAINFIELD, IL 60544 3) 05/2019 - DBA for LPL Business (entity for LPL business) - PWA - INVESTMENT RELATED - PLAINFIELD, IL 60544 4) 11/2005 - Non-Variable Insurance - PATRICIA LORIS - 3HRS/MO DURING TRADING - INVESTMENT RELATED - EVANSTON, IL 60202

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-03-20
  • S66 Uniform Combined State Law Examination
    2002-03-20
Designations
Other Names
  • Patricia Mary Siffermann
  • Patricia Mary Loris
  • Patricia Loris

View on SEC IAPD

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