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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-04 |
| IL | RA | APPROVED | 2025-01-23 |
Branch Locations
231 S La Salle St # 13 13Th Floor, Chicago, IL 60604 • United States
280 Veterans Parkway, New Lenox, IL 60451 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Orland Park | IL | 03/2008 | 01/2025 |
| Lpl Financial Llc | New Lenox | IL | 01/2025 | Present |
1- 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 08/21/2024- 160 hours per month/ 150 hours during trading 2- 01/2025- Capitas Financial- Non-Variable Insurance- Investment Related - At Reported Business Location(s) - Start Date 08/20/2024- 2 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-10 |
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