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13358 Manchester Road Suite 200, Des Peres, MO 63131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2012-08-29 |
Branch Locations
7417 Mexico Road Suite 104, St. Peters, MO 63376 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | St. Peters | MO | 08/2009 | Present |
| Cornerstone Wealth Management, Llc | St. Peters | MO | 08/2012 | Present |
1. 9/5/2014: Cornerstone Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/01/2011 - 160 Hours Per Month During Securities Trading. 2. 3/23/2016: Cornerstone Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/01/2011- 160 Hours Per Month During Securities Trading. 3. 3/17/2020 - Cornerstone Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 10/01/2011 - 120 Hours Per Month During Securities Trading - I provide investment advisory services through Cornerstone Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 10/2011. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 5/21/2020 - Dave Kaplan Financial - Investment Related - At Reported Business Location(s) - Other-YouTube Channel - Started 05/18/2020 - 8 Hours Per Month During Securities Trading. 5. 2/14/2023 - Cornerstone Wealth Portfolios - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 2/1/2023 - 160 Hours Per Month/160 Hours During Securities Trading 6. 05/29/2024 - St. Charles, MO School District - Instructor - Outside/W-2 Employment - Not Investment Related - 2400 Zumbehl Rd., St Charles, MO 63301 - Start Date 09/24/2024 - 6 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-02 |
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