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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2018-02-14
  • WI RA
    APPROVED
    Since 2018-02-14

Branch Locations

2019 Cenex Dr, Rice Lake, WI 54868 • United States

10631 U.S. Highway 63, Hayward, WI 54843 • United States

526 N River St, Spooner, WI 54801 • United States

Rice Lake, WI • United States

Sarona, 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
Invest Financial Corporation Tampa FL 06/2010 02/2018
Johnson Bank Rice Lake WI 01/2011 Present
Lpl Financial Llc Rice Lake WI 02/2018 Present
  • 06/2010 → 02/2018
    Invest Financial Corporation
    Tampa, FL
  • 01/2011 → Present
    Johnson Bank
    Rice Lake, WI
  • 02/2018 → Present
    Rice Lake, WI
Previous Registrations
  • 2010-06-25 → 2018-02-16
    Invest Financial Corporation
    Saint Croix Falls, WI
    Spooner, WI
    Rice Lake, WI
    Chippewa Falls, WI
    Amery, WI
    Hayward, WI
    Centuria, WI
    Balsam Lake, WI
    Milltown, WI
    Osceola, WI
    Centuria, WI
    Osceola, WI
    Appleton, WI
    Balsam Lake, WI
    Milltown, WI
    Saint Croix Falls, WI
    Amery, WI
    Appleton, WI
  • 2008-10-07 → 2010-06-25
    Uvest Financial Services Group, Inc.
    Amery, WI
    Centuria, WI
    Milltown, WI
    Osceola, WI
    St Croix Falls, WI
    Balsam Lake, WI
    Charlotte, NC
    Balsam Lake, WI
    Stanley, WI
    Balsam Lake, WI
    Amery, WI
    Brookfield, WI
    Milltown, WI
    Osceola, WI
    St. Croix Falls, WI
    Centuria, WI
Other Businesses

1. 12/31/2019 - JOHNSON FINANCIAL GROUP FINANCIAL ADVISORS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/11/2019 - 50 Hours Per Month/50 Hours During Securities Trading 2. 05/23/2023 - Johnson Financial Group-Trust Department - Not Investment Related - Milwaukee, WI - Other - Referral Compensation from Trust Dept - Start Date 06/01/2023 - 1 Hour Per Month/ 1 Hour During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-21
S63 Uniform Securities Agent State Law Examination 1996-08-13
  • S66 Uniform Combined State Law Examination
    2009-05-21
  • S63 Uniform Securities Agent State Law Examination
    1996-08-13

View on SEC IAPD

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