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Keith G Dronen

LPl Financial LLC

Chicago, IL

Wilmette, IL

CRD 2866998

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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 2014-06-18
IL RA APPROVED 2009-08-20
  • TX RA
    APPROVED_RES
    Since 2014-06-18
  • IL RA
    APPROVED
    Since 2009-08-20

Branch Locations

200 South Wacker Drive 31St Floor, Chicago, IL 60606 • United States

Wilmette, 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
Lpl Financial Chicago IL 08/2009 Present
  • 08/2009 → Present
    Lpl Financial
    Chicago, IL
Previous Registrations
Other Businesses

1. 08/20/09 - DBA ONLY / DRONEN FINANCIAL SERVICES, LLC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-20
S63 Uniform Securities Agent State Law Examination 1997-05-09
  • S65 Uniform Investment Adviser Law Examination
    1997-05-20
  • S63 Uniform Securities Agent State Law Examination
    1997-05-09

View on SEC IAPD

Nearby Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

More in Chicago, IL

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