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Stephanie Ann Warren

LPl Financial LLC

Middleton, WI

Merrimac, WI

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2021-03-24
  • WI RA
    APPROVED
    Since 2021-03-24

Branch Locations

7447 University Ave, Middleton, WI 53562 • United States

Merrimac, 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
M&I Marshall & Ilsley Bank Sauk City WI 08/1992 Present
Lpl Financial Llc Middleton WI 03/2021 Present
  • 08/1992 → Present
    M&I Marshall & Ilsley Bank
    Sauk City, WI
  • 03/2021 → Present
    Lpl Financial Llc
    Middleton, WI
Previous Registrations
  • 2021-03-08 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Sauk City, WI
    Baraboo, WI
    Middleton, WI
Other Businesses

1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - MIDDLETON, WI

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-03
S63 Uniform Securities Agent State Law Examination 2003-05-28
  • S65 Uniform Investment Adviser Law Examination
    2021-03-03
  • S63 Uniform Securities Agent State Law Examination
    2003-05-28
Other Names
  • Stephanie Ann Noskowiak

View on SEC IAPD

Other Firms

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CANOPY WEALTH MANAGEMENT
MORGAN STANLEY
AMERIPRISE FINANCIAL SERVICES, LLC
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
JACOBSON & SCHMITT ADVISORS, LLC
CHARLES SCHWAB & CO., INC.

Other Investors

JOHN-THOMAS PETREE
BRIAN VETROVEC
JAMES P SOLBERG
JACK DRANEY
BRANDON JOHN GASSER
ALEX DAVID BROST
MICHELLE ROSALYN TODD
ALINA M. ANDRECAN

Other Offices

STRATEGIC ADVISERS LLC · MIDDLETON, WI
CANOPY WEALTH MANAGEMENT · MIDDLETON, WI
MORGAN STANLEY · Middleton, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Middleton, WI
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · MIDDLETON, WI
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · MIDDLETON, WI
JACOBSON & SCHMITT ADVISORS, LLC · MIDDLETON, WI
CHARLES SCHWAB & CO., INC. · Middleton, WI

More in Middleton, WI

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