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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2020-12-18
TX RA APPROVED 2020-12-18
  • IL RA
    APPROVED
    Since 2020-12-18
  • TX RA
    APPROVED
    Since 2020-12-18

Branch Locations

1064 104Th Street Ste 100, Naperville, IL 60564 • 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
Susan S. Lewis Ltd Naperville IL 06/1986 Present
Avantax Investment Services, Inc. Naperville IL 09/1999 12/2020
Avantax Advisory Services Naperville IL 01/2000 12/2020
Avantax Insurance Agency, Inc. Naperville IL 08/2014 12/2020
Lpl Financial Llc Naperville IL 12/2020 Present
  • 06/1986 → Present
    Susan S. Lewis Ltd
    Naperville, IL
  • 09/1999 → 12/2020
    Avantax Investment Services, Inc.
    Naperville, IL
  • 01/2000 → 12/2020
    Avantax Advisory Services
    Naperville, IL
  • 08/2014 → 12/2020
    Avantax Insurance Agency, Inc.
    Naperville, IL
  • 12/2020 → Present
    Naperville, IL
Previous Registrations
  • 2000-01-03 → 2020-12-22
    Avantax Advisory Services
    Naperville, IL
Other Businesses

1)12/18/2020- Susan S. Lewis, Ltd.-Owner- Tax prep and bookkeeping business- Inv. Related- Naperville, IL- start date 1/1/1995-65% 2)12/18/2020- Aimcor Enterprise Insurance Group-Jim Chrisler, Agent- Non-Variable Insurance- Agent selling long term care, health insurance, life insurance- Inv. Related- Charles, IL- start dat 1/1/2019- 8hrs/mth 3)12/18/2020- Platinum Financial Associates, Inc.- DBA for LPL Business (entity for LPL business)- Inv. Related- Naperville, IL- start date 1/1/2001- 100% 4)12/18/2020- HDVEST INSURANCE AGNECY INC- Non-Variable Insurance- Agent selling long term care, life, health insurance , disability insurance (short and long)- Inv. Related- Dallas, TX- start date 12/1/1999- 8 hrs/mth 5)12/18/2020- Notary - Inv. Related- Naperville, IL- start date 6/1/1993- 1hr/mth 6)12/18/2020- Ideal Truck Body, Inc.-Business Owner- builder of truck bodies- Inv. Related- Naperville, IL- start date 1/1/2021-8hrs/mth 7)12/18/2020-Repair Me, Inc.-Business Owner - hydraulic cylinder repair-Inv. Related- Naperville, IL- start date 1/22/2021- 8hrs/mth 8)12/18/2020- Real Estate Rental- Real Estate Rental- Owner- Inv. Related- Naperville, IL- start date 3/15/2020- 0%

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-01
S63 Uniform Securities Agent State Law Examination 1999-11-18
  • S65 Uniform Investment Adviser Law Examination
    1999-12-01
  • S63 Uniform Securities Agent State Law Examination
    1999-11-18
Other Names
  • Susan Stathopoulos

View on SEC IAPD

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