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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2018-09-28 |
Branch Locations
1000 Essington Rd, Joliet, IL 60435 • United States
Joliet, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wayne Hummer Investments, Llc | Chicago | IL | 11/2014 | 09/2018 |
| Lpl Financial, Llc | Joliet | IL | 09/2018 | Present |
1. 09/28/2018 - Outside/W-2 Employment - Knorr Enterprises - 2% - NOT INVESTMENT RELATED - JOLIET, IL 60435 2. 03/06/2019 - Trupoint Tax Service - Investment related - At reported business locations - Tax Prep/Accounting/CPA - start date:01/28/2019 - 10 hrs/mo - 10 hrs during trading. 3. 06/07/2019 - KPT LLC - Not investment related - 3115 West Jefferson St Joliet, IL 60435 - Business Owner - start date:05/31/2019 - 10 hrs/mo - 0 hrs during trading. 4. 8/12/2019 - Tru Financial, LLC - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:08/01/2019 - 120 hrs/mo - 120 hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-08-05 |
| S63 | Uniform Securities Agent State Law Examination | 2002-01-29 |
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