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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2014-01-21
  • MN RA
    APPROVED
    Since 2014-01-21

Branch Locations

Chandler, AZ • United States

Otsego, MN • 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 Otsego MN 04/2008 Present
Other Businesses

1. 3/2/2015 - DARIN ROKKE INC - Investment Related - Home Based - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - Started 09/12/1999 - 0 Hours Per Month. 2. 9/1/2021 - Rokke Family Farms LLC - Not Investment Related - Home Based and Northern Minnesota - Business Entity For Tax/Investment Purposes Only - Started 05/13/2020 - 1 Hour Per Month/0 Hours During Securities Trading - 25% owner of a family LLC that owns some farm land in northern Minnesota.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-10-31
S63 Uniform Securities Agent State Law Examination 1996-09-23
  • S65 Uniform Investment Adviser Law Examination
    2000-10-31
  • S63 Uniform Securities Agent State Law Examination
    1996-09-23

View on SEC IAPD

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