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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 2018-02-14
WI RA APPROVED 2018-02-14
  • TX RA
    APPROVED_RES
    Since 2018-02-14
  • WI RA
    APPROVED
    Since 2018-02-14

Branch Locations

318 S Washington St, Green Bay, WI 54301 • United States

Green Bay, WI • 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
Invest Financial Corporation Tampa FL 07/2006 02/2018
Lpl Financial Llc Green Bay WI 02/2018 Present
  • 07/2006 → 02/2018
    Invest Financial Corporation
    Tampa, FL
  • 02/2018 → Present
    Green Bay, WI
Previous Registrations
  • 2006-07-11 → 2018-02-20
    Invest Financial Corporation
    Green Bay, WI
    De Pere, WI
    Wausau, WI
    Green Bay, WI
    Appleton, WI
    Appleton, WI
Other Businesses

1. 02/14/2018 - Johnson Insurance, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 7/11/2006 - Time Spent 1% - LTC, life insurance, fixed annuities. No property & casualty insurance. 2. 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 3. 05/23/2023 - Johnson Financial Group-Trust Dept - Not Investment Related - Milwaukee, WI - Other - referral compensation from trust dept - Start Date 06/01/2023 - 1 Hour Per Month/ 1 Hour During Securities Trading 4. 05/09/2024 - Northeast Financial Advisors - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 4/22/2024 - 50 Hrs/Mo During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-11-09
S63 Uniform Securities Agent State Law Examination 1998-08-21
  • S65 Uniform Investment Adviser Law Examination
    2006-11-09
  • S63 Uniform Securities Agent State Law Examination
    1998-08-21
Other Names
  • Dan Cibula

View on SEC IAPD

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