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Victor Waite Mccool

LPl Financial LLC

Wentzville, MO

CRD 2842060

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-07-23
MO RA APPROVED 2009-07-20
  • TX RA
    APPROVED_RES
    Since 2009-07-23
  • MO RA
    APPROVED
    Since 2009-07-20

Branch Locations

Wentzville, MO • 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 Florissant MO 07/2009 Present
  • 07/2009 → Present
    Lpl Financial
    Florissant, MO
Previous Registrations
  • 2007-05-01 → 2009-07-27
    Ameriprise Advisor Services, Inc.
    Clayton, MO
  • 2006-07-14 → 2007-04-11
    Natcity Investments, Inc.
    Hazelwood, MO
    St. Louis, MO
    St. Louis, MO
    Clayton, MO
    Bridgeton, MO
    St. Louis, MO
    St. Louis, MO
  • 2005-05-06 → 2006-07-17
    Lpl Financial Llc
    Brentwood, MO
    Brentwood, MO
Other Businesses

1. 7/17/09 - DBA, MCCOOL FINANCIAL GROUP - FLORISSANT, MO

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-05-05
S63 Uniform Securities Agent State Law Examination 1997-02-28
  • S65 Uniform Investment Adviser Law Examination
    2005-05-05
  • S63 Uniform Securities Agent State Law Examination
    1997-02-28
Other Names
  • Victor W Mccool

View on SEC IAPD

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