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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2022-09-22
  • WI RA
    APPROVED
    Since 2022-09-22

Branch Locations

3470 Gateway Rd, Brookfield, WI 53045 • United States

Huntley, IL • 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
Bmo Harris Bank Janesville WI 09/2014 09/2018
Bmo Harris Financial Advisors, Inc. Marengo IL 09/2018 05/2019
U.S. Bank Algonquin IL 07/2019 09/2022
U.S. Bancorp Investments, Inc. Algonquin IL 08/2019 09/2022
Bmo Harris Bank Brookfield WI 09/2022 Present
Lpl Financial Llc Brookfield WI 09/2022 Present
  • 09/2014 → 09/2018
    Bmo Harris Bank
    Janesville, WI
  • 09/2018 → 05/2019
    Bmo Harris Financial Advisors, Inc.
    Marengo, IL
  • 07/2019 → 09/2022
    U.S. Bank
    Algonquin, IL
  • 08/2019 → 09/2022
    Algonquin, IL
  • 09/2022 → Present
    Bmo Harris Bank
    Brookfield, WI
  • 09/2022 → Present
    Brookfield, WI
Previous Registrations
  • 2019-09-03 → 2022-09-09
    Chicago, IL
    Algonquin, IL
  • 2016-06-24 → 2019-06-10
    Bmo Harris Financial Advisors, Inc.
    Janesville, WI
    Marengo, IL
  • 2006-05-31 → 2014-09-26
    Milwaukee, WI
    Charlotte, NC
    Charlotte, NC
    Menomonee Falls, WI
    Glendale, AZ
    Chicago, IL
    Aurora, CO
    Duluth, MN
    Huntley, IL
Other Businesses

1- 09/2022 / BMO Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related / Brookfield, WI

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-18
S63 Uniform Securities Agent State Law Examination 2002-03-21
  • S65 Uniform Investment Adviser Law Examination
    2006-05-18
  • S63 Uniform Securities Agent State Law Examination
    2002-03-21

View on SEC IAPD

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