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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2021-03-24 |
Branch Locations
790 N Water St Floor 11, Milwaukee, WI 53202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Brookfield | WI | 09/2006 | 11/2018 |
| Charles Schwab Bank | Brookfield | WI | 10/2006 | 11/2018 |
| Ellenbecker Investment Group, Inc. | Pewaukee | WI | 11/2018 | 04/2019 |
| Bmo Bank Na | Milwaukee | WI | 04/2019 | Present |
| Lpl Financial, Llc | Milwaukee | WI | 03/2021 | Present |
| Bmo Harris Financial Advisors, Inc. | Milwaukee | WI | 04/2019 | 03/2021 |
1. 03/24/2021 - BMO Bank NA - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Started 04/16/2019 - Time Spent 100%. 2. 03/24/2021 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-05 |
| S63 | Uniform Securities Agent State Law Examination | 2002-07-10 |
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