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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-02-10
  • OH RA
    APPROVED
    Since 2023-02-10

Branch Locations

3750 Park East Dr Suite 200, Beachwood, OH 44122 • United States

1053 Sheerbrook Dr, South Russell, OH 44022 • United States

Stratos Wealth Partners, Ltd

3750 Park East Dr Ste 200, Beachwood, OH 44122 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2022-08-22
TX RA APPROVED_RES 2022-08-22
  • OH RA
    APPROVED
    Since 2022-08-22
  • TX RA
    APPROVED_RES
    Since 2022-08-22

Branch Locations

3750 Park East Drive Suite 200, Beachwood, OH 44122 • United States

South Russell, OH • 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
Mcdonald Partners Llc Cleveland OH 05/2012 08/2022
Lpl Financial Llc Beachwood OH 08/2022 Present
Previous Registrations
  • 2012-05-21 → 2022-08-22
    Cleveland, OH
    Cleveland, OH
  • 2007-02-09 → 2012-05-29
    Cleveland, OH
    Weehawken, NJ
    Beachwood, OH
  • 2005-10-07 → 2007-02-09
    Keybanc Capital Markets Inc.
    Beachwood, OH
    Beachwood, OH
Other Businesses

1)08/22/2022 - Stratos Wealth Partners - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 08/2022 2)08/22/2022 - Oswald Financial and JL Thomas & Company - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 2014 3)08/22/2022 - Qua Advisors LLC - Business Entity For Tax/Investment Purposes Only - Inv Rel - At Reported Business Location(s) - Start: 01/2022 4)08/22/2022 - Real Estate Rental - Owner - Inv Rel - Chagrin Falls, OH - Start: 04/2019 5)08/22/2022 - Valley Lutheran Church - Non-Profit Board Member - Non-Inv Rel - Chagrin Falls, OH - Start: 2019 6)08/22/2022 - LPL Financial, LLC (Registered Representative) - Investment Related - At Reported Business Location (s) - 100% time spent between LPL Financial, LLC and Stratos Wealth Partners, Ltd. 7)09/30/2022 - Stratos Wealth Partners, LTD - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through Stratos Wealth Partners, LTD, an independent investment advisor firm. I started this business activity in 8/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8) 05/19/2023 - Sheerbrook Wealth Managment - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date 05/15/2023 - 160 Hours Per Month/160 Hours During Securities Trading 9) 05/19/2023 - Sheerbrook Wealth Managment - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/15/2023 - 160 Hours Per Month/160 Hours During Securities Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-10-14
S63 Uniform Securities Agent State Law Examination 2000-10-30
  • S65 Uniform Investment Adviser Law Examination
    2014-10-14
  • S63 Uniform Securities Agent State Law Examination
    2000-10-30
Other Names
  • Mindy Leigh Simon

View on SEC IAPD

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