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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2020-07-23
  • MO RA
    APPROVED
    Since 2020-07-23

Branch Locations

6100 Mexico Rd., St. Peters, MO 63376 • United States

5401 South Lindbergh Blvd, St. Louis, MO 63123 • United States

8151 Clayton Rd, St. Louis, MO 63117 • United States

9945 Watson Rd, St Louis, MO 63126 • 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
Pnc Investments St. Louis MO 03/2014 07/2020
Lpl Financial Llc St. Peters MO 07/2020 Present
Simmons Bank St. Peters MO 07/2020 Present
  • 03/2014 → 07/2020
    Pnc Investments
    St. Louis, MO
  • 07/2020 → Present
    St. Peters, MO
  • 07/2020 → Present
    Simmons Bank
    St. Peters, MO
Previous Registrations
  • 2014-03-18 → 2020-07-28
    Warrenton, MO
    Kirkwood, MO
    Wentzville, MO
    O'FAllon, MO
    O'FAllon, MO
    Union, MO
    St. Peters, MO
    St. Charles, MO
    Saint Charles, MO
    Clayton, MO
    St Charles, MO
    Town And Country, MO
    St. Louis, MO
    St. Louis, MO
    O'FAllon, MO
    St Charles, MO
  • 2010-01-29 → 2014-03-14
    Crystal City, MO
    Saint Louis, MO
    Arnold, MO
    Saint Louis, MO
    Arnold, MO
    Crystal City, MO
    Arnold, MO
    Fenton, MO
    Saint Louis, MO
    Saint Louis, MO
    Saint Louis, MO
  • 2009-12-15 → 2010-01-07
    Creve Coeur, MO
Other Businesses

1)7/20/2020- Simmons Investment Services- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)-100%

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-08-24
S63 Uniform Securities Agent State Law Examination 2002-10-22
  • S65 Uniform Investment Adviser Law Examination
    2009-08-24
  • S63 Uniform Securities Agent State Law Examination
    2002-10-22

View on SEC IAPD

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