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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2017-08-25
  • KY RA
    APPROVED
    Since 2017-08-25

Branch Locations

9710 Park Plaza Ave Ste 206, Louisville, KY 40241 • United States

9710 Park Plaza Ave Ste 208, Louisville, KY 40241 • 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
Meyerowicz & King, Pllc Louisville KY 09/2001 Present
Private Client Services, Llc Louisville KY 01/2010 07/2017
Lpl Financial Llc Louisville KY 07/2017 Present
Previous Registrations
  • 2010-01-05 → 2017-08-30
    Louisville, KY
    Louisville, KY
    Louisville, KY
  • 2006-06-29 → 2009-12-31
    Woodbury Financial Services, Inc.
    Louisville, KY
    Louisville, KY
    Louisville, KY
Other Businesses

1) 08/15/2017 - Meyerowitz & King PLLC - CPA - inv rel - at reported business location(s) - start: 09/17/2001 - 150 hr/mth 2) 08/15/2017 - Hartford and Transamerica trail- Non-Variable Insurance Trails Only - inv rel - at reported business location(s) - start: 09/01/2004 3)08/15/2017 - M & K Enterprises LLC - partner in real estate - Louisville, KY - inv rel - 10 hr/mth

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-14
S63 Uniform Securities Agent State Law Examination 2003-11-04
  • S66 Uniform Combined State Law Examination
    2006-06-14
  • S63 Uniform Securities Agent State Law Examination
    2003-11-04

View on SEC IAPD

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