Christine A Sperry

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2018-08-06

WI RA
APPROVED

Since 2018-08-06

Branch Locations

341 W Cottage Grove Road, Cottage Grove, WI 53527 • United States

2605 Kennedy Rd, Janesville, WI 53545 • United States

2 E Main St, Evansville, WI 53536 • United States

Deforest, 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

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Middleton	WI	01/2009	08/2018
Charles Schwab Bank	Middleton	WI	01/2009	08/2018
Lpl Financial Llc	Oregon	WI	08/2018	Present
Union Bank & Trust	Oregon	WI	08/2018	07/2019
State Bank Of Cross Plains	Oregon	WI	07/2019	Present

01/2009 → 08/2018

Charles Schwab & Co., Inc.

Middleton, WI
01/2009 → 08/2018

Charles Schwab Bank

Middleton, WI
08/2018 → Present

Lpl Financial Llc

Oregon, WI
08/2018 → 07/2019

Union Bank & Trust

Oregon, WI
07/2019 → Present

State Bank Of Cross Plains

Oregon, WI

Previous Registrations

2009-02-03 → 2018-07-31

Charles Schwab & Co., Inc.

Middleton, WI
2006-09-11 → 2009-01-29

William Blair

Chicago, IL

Chicago, IL

Chicago, IL
2006-07-13 → 2006-08-29

Banc Of America Investment Services, Inc.

Chicago, IL
2005-04-12 → 2006-07-24

The Mosaic Financial Group, Llc

Chicago, IL
2004-01-23 → 2005-02-16

Bernardi Asset Management, Llc

Chicago, IL

Other Businesses

1. 5/30/2019 - State Bank of Cross Plains - DBA: SB Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/03/2019 - 160 Hours Per Month/15 Hours During Securities Trading. 2. 11/7/2019 - State Bank of Cross Plains - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Trust Officer - Start Date: 09/17/2019 - 10 Hours Per Month/1 Hour During Securities Trading - Refer potential clients to bank trust department as an indirect result of my primary responsibilities of registered representative. 3. 11/3/2020 - ash brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 01/01/2019 - 10 Hours Per Month/1 Hour During Securities Trading. 4. 10/20/2022 - Lake Ridge Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/03/2022 - 160 Hours Per Month/120 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-01-22
S63	Uniform Securities Agent State Law Examination	2003-09-17

S65 Uniform Investment Adviser Law Examination

2004-01-22
S63 Uniform Securities Agent State Law Examination

2003-09-17

Other Names

Christine A Evans
Christine Ann Evans
Christine Evans
Christine Ann Evans

View on SEC IAPD