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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2012-01-03
IL RA APPROVED 2007-12-14
  • TX RA
    APPROVED
    Since 2012-01-03
  • IL RA
    APPROVED
    Since 2007-12-14

Branch Locations

115 S Washington Street, Carbondale, IL 62901 • United States

200 N. Main Street, Benton, IL 62812 • 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
Lpl Financial Llc Carbondale IL 12/2007 Present
Previous Registrations
  • 2002-11-08 → 2007-12-21
    A. G. Edwards & Sons, Inc.
    Carbondale, IL
    Carbondale, IL
Other Businesses

(1) 11/20/2007: Alliance Investment Planning Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-02-21
  • S66 Uniform Combined State Law Examination
    2000-02-21
Designations

View on SEC IAPD

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