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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2010-03-09
  • OH RA
    APPROVED
    Since 2010-03-09

Branch Locations

6290 Pearl Road, Parma Heights, OH 44130 • United States

15001 Snow Road, Brook Park, OH 44142 • United States

3300 Warren Rd, Cleveland, OH 44111 • 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 Cleveland OH 03/2010 Present
Previous Registrations
  • 2009-05-21 → 2010-03-09
    Amfin Investment Services, Inc.
    Cleveland, OH
  • 2001-08-30 → 2009-03-24
    Amfin Investment Services, Inc.
    Cleveland, OH
    Cleveland, OH
    North Olmsted, OH
    Brook Park, OH
Other Businesses

1) 02/02/2024 - Flagstar Wealth Services - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business)

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-08-08
  • S63 Uniform Securities Agent State Law Examination
    1997-08-08

View on SEC IAPD

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