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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-02-14 |
| WI | RA | APPROVED | 2018-02-14 |
Branch Locations
14000 W North Ave, Brookfield, WI 53005 • United States
N22 W 23991 Ridgeview Pkway W, Waukesha, WI 53188 • United States
2675 Sun Valley Dr, Delafield, WI 53018 • United States
Hartland, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Johnson Bank | Brookfield | WI | 08/2002 | Present |
| Invest Financial Corporation | Tampa | FL | 08/2002 | 02/2018 |
| Lpl Financial Llc | Brookfield | WI | 02/2018 | Present |
1. 12/31/2019 - JOHNSON FINANCIAL GROUP FINANCIAL ADVISORS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/11/2019 - 50 Hours Per Month/50 Hours During Securities Trading. 2. 06/12/2023 - Johnson Financial Group-Trust Department - Not Investment Related - At Reported Business Location(s) - Other - Referral Compensation from Trust Dept - Start Date 06/01/2023 - 1 Hour Per Month/ 1 Hour During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-16 |
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