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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 2025-02-04
IL RA APPROVED 2025-01-23
  • TX RA
    APPROVED_RES
    Since 2025-02-04
  • IL RA
    APPROVED
    Since 2025-01-23

Branch Locations

950 W Touhy Ave, Park Ridge, IL 60068 • United States

150 East Rand Road, Arlington Heights, IL 60004 • 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
J.P. Morgan Securities Llc Mt. Prospect IL 10/2012 06/2017
Self Mount Prospect IL 10/2015 Present
White Stone Development, Llc. Mount Prospect IL 03/2016 Present
Wayne Hummer Investments L.L.C. Schaumburg IL 06/2017 01/2025
Lpl Financial Llc Park Ridge IL 01/2025 Present
  • 10/2012 → 06/2017
    Mt. Prospect, IL
  • 10/2015 → Present
    Self
    Mount Prospect, IL
  • 03/2016 → Present
    White Stone Development, Llc.
    Mount Prospect, IL
  • 06/2017 → 01/2025
    Wayne Hummer Investments L.L.C.
    Schaumburg, IL
  • 01/2025 → Present
    Park Ridge, IL
Previous Registrations
  • 2017-06-30 → 2025-01-23
    Wintrust Investments Llc
    Arlington Heights, IL
    Schaumburg, IL
    Chicago, IL
    Park Ridge, IL
  • 2012-10-01 → 2017-07-12
    Prospect Heights, IL
  • 2007-01-08 → 2012-10-01
    Chase Investment Services Corp.
    Chicago, IL
    Mt. Prospect, IL
Other Businesses

1. 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 06/30/2017- 160 Hours Per Month- 100 Hours During Trading 2. 01/2025- RIZORT LLC- Real Estate Rental- INV Related- At Illinois- Start date 03/01/2022- 1 Hour Per Month 3. 01/2025- RIZORT LLC PEBBLEBEACH- Real Estate Rental- INV Related- Start date 02/01/2004- 1 Hour Per Month

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-06
S63 Uniform Securities Agent State Law Examination 2002-09-18
  • S66 Uniform Combined State Law Examination
    2007-01-06
  • S63 Uniform Securities Agent State Law Examination
    2002-09-18

View on SEC IAPD

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