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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2023-08-21 |
Branch Locations
3901 E Calumet Street, Appleton, WI 54915 • United States
Hortonville, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Thrivent Investment Management Inc | Appleton | WI | 06/2003 | 02/2019 |
| Bmo Harris Financial Advisors, Inc. | Appleton | WI | 02/2019 | 12/2021 |
| Lpl Financial Llc | Appleton | WI | 03/2021 | 12/2021 |
| Morgan Stanley | Appleton | WI | 12/2021 | 08/2023 |
| Lpl Financial Llc | Appleton | WI | 08/2023 | Present |
| Bmo Harris Bank | Appleton | WI | 08/2023 | Present |
| Bmo Investment Services | Appleton | WI | 08/2023 | Present |
1) 08/16/2023 - BMO Investment Service - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-04 |
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