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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-05-25
MN RA APPROVED 2017-11-29
  • TX RA
    APPROVED_RES
    Since 2018-05-25
  • MN RA
    APPROVED
    Since 2017-11-29

Branch Locations

4959 Olson Memorial Hwy Ste A, Golden Valley, MN 55422 • 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
Lpl Financial Llc Golden Valley MN 11/2017 Present
National Planning Corporation Golden Valley MN 08/2003 11/2017
  • 11/2017 → Present
    Golden Valley, MN
  • 08/2003 → 11/2017
    National Planning Corporation
    Golden Valley, MN
Previous Registrations
  • 2009-05-15 → 2017-11-29
    National Planning Corporation
    Golden Valley, MN
    St. Michael, MN
    Los Angeles, CA
    Maple Grove, MN
    Shoreview, MN
Other Businesses

1. 11/29/2017 - TC MANAGEMENT - Not Investment Related - At Reported Business Location(s) - For-Profit Business - Start Date 3/23/2009 - Umbrella Company: Pays bills for his office. 2. 11/29/2017 - Preferred Resource Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 7/1/2014 - 160 Hours Per Month/160 During Securities Trading. 3. 7/5/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Notary - Start Date: 01/31/2018 - 1 Hour Per Month/1 Hour During Securities Trading - Notary Public. 4. 01/12/2023 - Rudd Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/10/2022 - 160 Hours Per Month/160 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-12
S63 Uniform Securities Agent State Law Examination 1997-08-04
  • S66 Uniform Combined State Law Examination
    2003-05-12
  • S63 Uniform Securities Agent State Law Examination
    1997-08-04

View on SEC IAPD

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