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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-01
AL RA APPROVED 2018-02-14
MN RA APPROVED 2018-02-14
  • CA RA
    APPROVED
    Since 2025-01-01
  • AL RA
    APPROVED
    Since 2018-02-14
  • MN RA
    APPROVED
    Since 2018-02-14

Branch Locations

503 22Nd Ave E Suite #11, Alexandria, MN 56308 • 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
Invest Financial Corporation Alexandria MN 07/2009 02/2018
Lpl Financial Llc Alexandria MN 02/2018 Present
  • 07/2009 → 02/2018
    Invest Financial Corporation
    Alexandria, MN
  • 02/2018 → Present
    Alexandria, MN
Previous Registrations
  • 2010-01-04 → 2018-02-14
    Invest Financial Corporation
    Alexandria, MN
    Freehold, NJ
Other Businesses

1. 10/18/2017 - BORAAS FINANCAL GROUP, LLC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 7/1/09 - 0 Hrs/Mth - 0 Hrs During Trading. 2. 10/18/2017 - BLUE ON BLUE,INC. - Investment Related - At Reported Business Location(s) - Insurance Agency - Start Date 7/1/09 - 5 Hrs/M0th - 0 Hrs During Trading. 3. 10/18/2017- BLUE CROSS BLUE SHIELD OF MN. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 12/15/05 - 2 During Securities Trading. 4. 03/20/2020 - BORAAS FINANCAL GROUP, LLC. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date:10/18/2017 - 1 Hrs/M0th - 1 Hrs During Trading. 5) 07/29/2025 - DBA Boraas Financial Group, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:07/25/2025 - 2 Hrs/Mth - 2 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-01-05
S63 Uniform Securities Agent State Law Examination 1996-08-26
  • S66 Uniform Combined State Law Examination
    2004-01-05
  • S63 Uniform Securities Agent State Law Examination
    1996-08-26
Designations

View on SEC IAPD

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