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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-08-04
KS RA APPROVED 2018-11-30
  • FL RA
    APPROVED
    Since 2026-08-04
  • KS RA
    APPROVED
    Since 2018-11-30

Branch Locations

Naples, FL • United States

Wichita, KS • United States

10111 E 21St Ste 320, Wichita, KS 67206 • United States

Disclosures

1 disclosure category 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones St Louis MO 10/1999 10/2018
Lpl Financial, Llc Wichita KS 11/2018 Present
Previous Registrations
Other Businesses

1. 12/10/2018 - SCM Financial LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 11/09/2018 - 5 Hours Per Month/2 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-08-16
S63 Uniform Securities Agent State Law Examination 1998-04-23
  • S65 Uniform Investment Adviser Law Examination
    2006-08-16
  • S63 Uniform Securities Agent State Law Examination
    1998-04-23

View on SEC IAPD

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