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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2004-07-20
  • IL RA
    APPROVED
    Since 2004-07-20

Branch Locations

40W188 Campton Crossing, Ste E, St. Charles, IL 60175 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) Saint Charles IL 12/2003 Present
  • 12/2003 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
    Saint Charles, IL
Other Businesses

1. 10/20/2005 - REAL ESTATE RENTAL - INVESTMENT PROPERTY THAT IS A ONE UNIT CONDO THAT WILL BE RENTED OR LEASED, WITH NO RENTERS THAT ARE CUSTOMERS OR ADVISORS. - TIME SPENT 1%. 2. 4/9/2008 - DBA ONLY - FOX RIVER FINANCIAL CONSULTANTS - FOX RIVER FINANCIAL CONSULTANTS, LLC - ST. CHARLES, IL. 3. 10/6/2008 - NON-VARIABLE INSURANCE - BENEFITS PLUS OF ILLINOIS - I ALREADY HAVE NOTED THIS ACTIVITY ON MY OUTSIDE BUSINESS. THIS REQUEST INCLUDES A DBA NAME FOR MARKETING PURPOSES. THERE WILL BE ANOTHER EMPLOYEE (FAMILY MEMBER) WHO WILL BE WORKING WITH ME TO EXPAND THIS BUSINESS. - TIME SPENT 10% - ST. CHARLES, IL. 4. 5/12/2014 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 2% - Life insurance. 5. 10/8/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/18/2018 - 2 Hours Per Month/0 Hours During Securities Trading - Fixed insurance. 6. 10/9/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 10/01/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Fixed annuity. 7. 2/26/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 10/01/2020 - 1 Hours Per Month/0 Hours During Securities Trading - Fixed annuity sale.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-12
S63 Uniform Securities Agent State Law Examination 1996-07-09
  • S65 Uniform Investment Adviser Law Examination
    1999-08-12
  • S63 Uniform Securities Agent State Law Examination
    1996-07-09
Other Names
  • Michael Frantesl

View on SEC IAPD

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