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Barbara Marie Frosch

LPl Financial LLC

Oshkosh, WI

Oshkosh, WI

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2021-03-24
  • WI RA
    APPROVED
    Since 2021-03-24

Branch Locations

50 Pearl Avenue, Oshkosh, WI 54901 • United States

Oshkosh, WI • 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
M&I Brokerage Services Inc Oshkosh WI 10/2005 Present
M&I Insurance Services Inc Milwaukee WI 10/2005 Present
M&I Trust Company Milwaukee WI 10/2005 Present
Bmo Harris Bank Na Milwaukee WI 07/2011 Present
Bmo Harris Financial Advisors, Inc. Oshkosh WI 08/2012 Present
Lpl Financial Llc Oshkosh WI 03/2021 Present
  • 10/2005 → Present
    M&I Brokerage Services Inc
    Oshkosh, WI
  • 10/2005 → Present
    M&I Insurance Services Inc
    Milwaukee, WI
  • 10/2005 → Present
    M&I Trust Company
    Milwaukee, WI
  • 07/2011 → Present
    Bmo Harris Bank Na
    Milwaukee, WI
  • 08/2012 → Present
    Bmo Harris Financial Advisors, Inc.
    Oshkosh, WI
  • 03/2021 → Present
    Lpl Financial Llc
    Oshkosh, WI
Previous Registrations
  • 2012-08-01 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Oshkosh, WI
  • 2005-10-07 → 2012-08-01
    M&I Financial Advisors, Inc
    Oshkosh, WI
    Oshkosh, WI
  • 2010-04-27 → 2012-04-18
    M&I Investment Management Corp.
    Milwaukee, WI
Other Businesses

1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - OSHKOSH, WI

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-02-23
S63 Uniform Securities Agent State Law Examination 1997-12-05
  • S65 Uniform Investment Adviser Law Examination
    2006-02-23
  • S63 Uniform Securities Agent State Law Examination
    1997-12-05
Other Names
  • Barbara Marie Draws

View on SEC IAPD

Other Firms

PFS INVESTMENTS INC.
CARL M. HENNIG, INC.
TOWER VIEW WEALTH MANAGEMENT LLC
U.S. BANCORP ADVISORS, LLC
EDWARD JONES
THRIVENT INVESTMENT MANAGEMENT INC.
CETERA INVESTMENT ADVISERS LLC
OSAIC WEALTH, INC.

Other Investors

JERAMIAH MICHAEL HOUSWORTH
LUKE ANTHONY EICHSTEDT
RONALD JOSEPH SCHABEL
KELLY ANN KALMES
RYAN DAVID WEBSTER
STEVEN HAGEMAN
ANGELA J SIMON
TIMOTHY PAUL FULLER

Other Offices

PFS INVESTMENTS INC. · OSHKOSH, WI
PFS INVESTMENTS INC. · OSHKOSH, WI
PFS INVESTMENTS INC. · OSHKOSH, WI
CARL M. HENNIG, INC. · OSHKOSH, WI
TOWER VIEW WEALTH MANAGEMENT LLC · Oshkosh, WI
U.S. BANCORP ADVISORS, LLC · Oshkosh, WI
EDWARD JONES · OSHKOSH, WI
EDWARD JONES · OSHKOSH, WI

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