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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-04-05
TX RA APPROVED 2021-04-05
  • IL RA
    APPROVED
    Since 2021-04-05
  • TX RA
    APPROVED
    Since 2021-04-05

Branch Locations

2655 Warrenville Rd Ste 175, Downers Grove, IL 60515 • 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
Abn Amro Financial Services, Inc. Chicago IL 07/2001 04/2021
J.P. Morgan Securities Llc Wheaton IL 10/2012 04/2021
Lpl Finanical Llc Downers Grove IL 04/2021 Present
  • 07/2001 → 04/2021
    Abn Amro Financial Services, Inc.
    Chicago, IL
  • 10/2012 → 04/2021
    Wheaton, IL
  • 04/2021 → Present
    Lpl Finanical Llc
    Downers Grove, IL
Previous Registrations
  • 2012-10-01 → 2021-04-14
    Wheaton, IL
  • 2005-07-06 → 2012-10-01
    Chase Investment Services Corp.
    Chicago, IL
    Wheaton, IL
    Carol Stream, IL
    Glen Ellyn, IL
    Wheaton, IL
  • 2004-06-21 → 2005-07-06
    Banc One Securities Corporation
    Wheaton, IL
  • 2001-10-19 → 2004-06-16
    Lasalle Financial Services, Inc.
    Chicago, IL
Other Businesses

1) 4/05/2021- Professional Wealth Advisors- DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Inv Related - Start date: 04/05/2021 - 160 Hrs/Mth - 8 Hrs During Trading. 2) 4/05/2021 - PWA- DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Inv Related - Start date: 04/05/2021 - 160 Hrs/Mth - 8 Hrs During Trading. 3) 5/4/2021 - A.M.D.G. Wealth Advisory, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Started 04/12/2021 - 2 Hours Per Month During Securities Trading. 4) 5/21/2021 - PWA Financial Services, LLC - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date: 4/12/2021 - 2 Hours Per Month/2 Hours During Securities Trading. 5) 03/06/2024 - Partnerland LLC - Non-Inv Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started: 1/1/2024 - 2 Hrs/Mo During Trading 6) 06/17/2025 - Genesis Wealth LLC - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:07/01/2025 - 150 Hrs/Mth - 6 Hrs During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-06
S63 Uniform Securities Agent State Law Examination 1997-09-20
  • S65 Uniform Investment Adviser Law Examination
    1998-05-06
  • S63 Uniform Securities Agent State Law Examination
    1997-09-20
Designations
Other Names
  • Ray Kermend
  • Raymond P Kermend
  • Raymond Patrick Kermend

View on SEC IAPD

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