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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 2021-10-19
IL RA APPROVED 2021-03-24
  • TX RA
    APPROVED_RES
    Since 2021-10-19
  • IL RA
    APPROVED
    Since 2021-03-24

Branch Locations

12920 S Rte 47, Huntley, IL 60142 • United States

10604 N State Route 47, Huntley, IL 60142 • United States

473 N Reddington, South Elgin, IL 60177 • United States

250 Dundee Ave, Elgin, IL 60120 • United States

170 N. Mclean, Elgin, IL 60183 • United States

225 West Jackson Street, Woodstock, IL 60098 • United States

St. Charles, IL • 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
Bmo Harris Financial Advisors, Inc. Chicago IL 12/2011 03/2018
Bmo Harris Financial Advisors, Inc. Huntley IL 03/2018 03/2021
Lpl Financial, Llc Huntley IL 03/2021 Present
  • 12/2011 → 03/2018
    Bmo Harris Financial Advisors, Inc.
    Chicago, IL
  • 03/2018 → 03/2021
    Bmo Harris Financial Advisors, Inc.
    Huntley, IL
  • 03/2021 → Present
    Huntley, IL
Previous Registrations
  • 2010-07-01 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Buffalo Grove, IL
    Crystal Lake, IL
    Barrington, IL
    Wilmette, IL
    Skokie, IL
    Barrington, IL
    Huntley, IL
    Glencoe, IL
    Libertyville, IL
    Lake Barrington, IL
    Algonquin, IL
    Arlington Heights, IL
    Palatine, IL
    Gurnee, IL
    Palatine, IL
    Lincolnwood, IL
    Paletine, IL
    Fox Lake, IL
    Cary, IL
    Woodstock, IL
    Rolling Meadows, IL
    Des Plaines, IL
    Fox River Grove, IL
    Hoffman Estates, IL
    Highland Park, IL
    Mchenry, IL
    Marengo, IL
    Huntley, IL
    Palatine, IL
    Northbrook, IL
    Arlington Hts, IL
    Buffalo Grove, IL
    West Dundee, IL
    Libertyville, IL
    Crystal Lake, IL
    Rockford, IL
    Rockford, IL
    Rockford, IL
    Roscoe, IL
    Baraboo, WI
    Verona, WI
    Sauk City, WI
    Chicago, IL
    Woodstock, IL
    Rockford, IL
    Portage, WI
    Rockford, IL
    Mt Horeb, WI
    Belvidere, IL
    Rockford, IL
    Rockford, IL
    Mchenry, IL
    Rockford, IL
    Crystal Lake, IL
    Carpentersville, IL
    Machesney Park, IL
    Wheeling, IL
    Northbrook, IL
    Palatine, IL
    Palatine, IL
    Mundeline, IL
    Mchenry, IL
    Roscoe, IL
    Winnetka, IL
    Niles, IL
    Park Ridge, IL
    Lake Forest, IL
    Carpentersville, IL
    Muskego, WI
    Buffalo Grove, IL
    Hoffman Estates, IL
    Huntley, IL
    Huntley, IL
    Chicago, IL
    Chicago, IL
    Buffalo Grove, IL
    Chicago, IL
    Chicago, IL
    Lake Barrington, IL
    Bloomingdale, IL
    Calumet City, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Carol Stream, IL
    Huntley, IL
    Huntley, IL
    Chicago, IL
    South Elgin, IL
  • 2009-03-03 → 2010-09-30
    Amcore Investment Services, Inc
    Lombard, IL
    Belvidere, IL
    Rockford, IL
    South Elgin, IL
    Elgin, IL
    Rockford, IL
    Belvidere, IL
    Sterling, IL
    Princeton, IL
    Elgin, IL
    Dixon, IL
    Woodstock, IL
    Mendota, IL
    Peru, IL
    Carpentersville, IL
    Crystal Lake, IL
    Mchenry, IL
    Dixon, IL
    St. Charles, IL
    Des Plaines, IL
    South Elgin, IL
    Oregon, IL
    Rock Falls, IL
    Algonquin, IL
    Schaumburg, IL
    Elgin, IL
    Lincolnshire, IL
    Peru, IL
    Dixon, IL
    Carol Stream, IL
    Aurora, IL
    Princeton, IL
    Elgin, IL
    Rockford, IL
    Lake Zurich, IL
    Joliet, IL
  • 2002-01-22 → 2003-07-28
    Harrisdirect Llc
    Chicago, IL
Other Businesses

1. 4/13/2021 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-09-18
S65 Uniform Investment Adviser Law Examination 2001-12-19
S63 Uniform Securities Agent State Law Examination 1997-08-29
  • S66 Uniform Combined State Law Examination
    2009-09-18
  • S65 Uniform Investment Adviser Law Examination
    2001-12-19
  • S63 Uniform Securities Agent State Law Examination
    1997-08-29

View on SEC IAPD

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