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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2017-11-29
NE RA APPROVED 2017-11-29
  • KS RA
    APPROVED
    Since 2017-11-29
  • NE RA
    APPROVED
    Since 2017-11-29

Branch Locations

114 North Main Street, Stuart, NE 68780 • United States

702 E Douglas, O'NEill, NE 68763 • United States

103 W Hwy 20, Bassett, NE 68714 • United States

807 Ash St, Atkinson, NE 68713 • United States

510 Thayer St, Butte, NE 68722 • 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
The Tri-County Bank (Ba) Stuart NE 12/2010 Present
Investment Centers Of America, Inc. Stuart NE 07/2014 11/2017
Lpl Financial Llc Stuart NE 11/2017 Present
  • 12/2010 → Present
    The Tri-County Bank (Ba)
    Stuart, NE
  • 07/2014 → 11/2017
    Investment Centers Of America, Inc.
    Stuart, NE
  • 11/2017 → Present
    Stuart, NE
Previous Registrations
  • 2017-08-15 → 2017-11-29
    Investment Centers Of America, Inc.
    Appleton, WI
    Stuart, NE
    Spencer, NE
    Butte, NE
    O'NEill, NE
    Atkinson, NE
    Bassett, NE
Other Businesses

1. 11/29/2017 - CBI, INC - Not Investment Related - Ainsworth, NE - Real Estate Rental - President/Owner. 2. 11/29/2017 - THE TRI-COUNTY BANK - Investment Related - At Reported Business Location(s) - Financial Institution Duty - PRESIDENT & CEO. 3. 11/29/2017 - CWS ADVISORY & INVESTMENTS - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - 8 Hours Per Month - Life, LTC. 4. 3/3/2021 - InSource - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/30/2020 - 5 Hours Per Month During Securities Trading. 5. 03/03/2022 - The Tri-County Bank - DBA: TCB Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/01/2022 - 40 Hours Per Month/40 Hours During Securities Trading. 6. 05/26/2022 -TRI-COUNTY COMPANY - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date - 12/30/2021 - 30 Hours Per Month/ 25 Hours During Securities Trading. 7. 3/10/2023 - Butte State Bank - Not Investment Related - 510 Thayer St Butte, NE 68722 - For-Profit Board Member - Butte State Bank Board of Director - Start Date - 01/01/2018 - 3 Hours Per Month/3 Hours During Securities Trading 8. 3/30/23 - COMMUNITY WEALTH SPECIALISTS, LLC - Investment Related - At Reported Business Location(s) - Financial Institution Duty - MEMBER / MANAGER OF INSURANCE AGENCY - Start Date - 01/03/2011 - 5 Hours Per Month/5 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-14
S63 Uniform Securities Agent State Law Examination 1996-09-10
  • S66 Uniform Combined State Law Examination
    2017-08-14
  • S63 Uniform Securities Agent State Law Examination
    1996-09-10
Other Names
  • Jon David Schmaderer

View on SEC IAPD

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