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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2011-04-29
  • MO RA
    APPROVED
    Since 2011-04-29

Branch Locations

8860 Ladue Road Suite 230, St. Louis, MO 63124-2068 • United States

St Louis, MO • 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
Martin Gallaher Insurance Group St. Louis MO 01/1990 04/2019
Lpl Financial Llc St Louis MO 04/2011 Present
  • 01/1990 → 04/2019
    Martin Gallaher Insurance Group
    St. Louis, MO
  • 04/2011 → Present
    St Louis, MO
Previous Registrations
  • 2010-01-15 → 2011-05-11
    Osaic Fs, Inc.
    St. Louis, MO
    St. Louis, MO
Other Businesses

1. 04/29/2011: Martin Insurance Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance Trails Only - Time Spent 80% - fixed insurance agency - fixed, life and health lines. 2. 04/04/2011: No Business Name - Investment Related - St. Louis, MO - Real Estate Rental - Time Spent 1% - Owner of apartment building & single family rental dwelling. 3. 7/19/2011: Martin Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 4. 1/29/2015: Thomas M. Martin - Not Investment Related - Business will be managed from home. - Other-Author - Start 02/15/2015 - 5 Hours Per Month/2 Hours During Securities Trading - Author of the book "The Eight Other Advantages of Universal Life" (self published). 5. 4/9/2019 - Clayton Investment Associates - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/01/2019 - 20 Hours Per Month/4 Hours During Securities Trading. 6.05/20/2025 - Kingside Strategies - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:05/09/2025 - 10 Hrs/Mth - 5Hrs During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-05-28
S63 Uniform Securities Agent State Law Examination 2003-03-25
  • S65 Uniform Investment Adviser Law Examination
    2003-05-28
  • S63 Uniform Securities Agent State Law Examination
    2003-03-25
Designations

View on SEC IAPD

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