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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-03-26
IL RA APPROVED 2021-03-24
  • TX RA
    APPROVED_RES
    Since 2021-03-26
  • IL RA
    APPROVED
    Since 2021-03-24

Branch Locations

5960 W. Irving Park Road, Chicago, IL 60634 • United States

590 S Roselle, Schaumburg, IL 60193 • United States

2401 West Schaumburg Road, Schaumburg, IL 60194 • United States

185 W. Irving Park Road, Streamwood, IL 60107 • United States

Yorkville, IL • United States

Disclosures

2 disclosure categories 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bmo Harris Financial Advisors Schaumburg IL 07/2014 Present
Lpl Financial Llc Wood Dale IL 03/2021 Present
  • 07/2014 → Present
    Bmo Harris Financial Advisors
    Schaumburg, IL
  • 03/2021 → Present
    Wood Dale, IL
Previous Registrations
  • 2014-07-22 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Schaumburg, IL
    Schaumburg, IL
    Roselle, IL
    Batavia, IL
    Wood Dale, IL
    Chicago, IL
    Chicago, IL
  • 2012-01-04 → 2014-07-21
    Glen Ellyn, IL
    Glen Ellyn, IL
    Downers Grove, IL
    Lisle, IL
    Hinsdale, IL
    Geneva, IL
    Downers Grove, IL
  • 2009-08-21 → 2012-01-06
    Lombard, IL
    Countryside, IL
    Des Plaines, IL
    Des Plaines, IL
    Clarendon Hills, IL
    Westmont, IL
    Wheaton, IL
    Winfield, IL
    Woodridge, IL
    Downers Grove, IL
    Glen Ellyn, IL
    Woodridge, IL
    Lombard, IL
    Lombard, IL
    Lombard, IL
    Kankakee, IL
  • 2007-11-09 → 2009-08-13
    Banc Of America Investment Services, Inc.
    Wheaton, IL
    Hinsdale, IL
    Batavia, IL
    Chicago, IL
  • 2006-04-06 → 2007-11-30
    Geneva, IL
    Aurora, IL
    Oswego, IL
    Geneva, IL
    Shorewood, IL
    Bartlett, IL
    Yorkville, IL
    Aurora, IL
    Aurora, IL
    Aurora, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-04
S63 Uniform Securities Agent State Law Examination 1998-04-07
  • S65 Uniform Investment Adviser Law Examination
    2006-04-04
  • S63 Uniform Securities Agent State Law Examination
    1998-04-07
Designations
Other Names
  • Mike New

View on SEC IAPD

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