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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-02-14 |
| WI | RA | APPROVED | 2018-02-14 |
Branch Locations
318 S Washington St, Green Bay, WI 54301 • United States
Green Bay, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invest Financial Corporation | Tampa | FL | 07/2006 | 02/2018 |
| Lpl Financial Llc | Green Bay | WI | 02/2018 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-21 |
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