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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-03-26
IL RA APPROVED 2021-03-24
  • TX RA
    APPROVED_RES
    Since 2021-03-26
  • IL RA
    APPROVED
    Since 2021-03-24

Branch Locations

860 Nw Highway, Fox River Grove, IL 60021 • United States

122 West Main Street, Cary, IL 60013 • United States

720 S Eighth Street, West Dundee, IL 60118 • United States

6900 Huntley Road, Carpentersville, IL 60110 • United States

Crystal Lake, IL • 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
Harris Investor Services, Inc West Dundee IL 03/2011 Present
Lpl Financial Llc Cary IL 03/2021 Present
  • 03/2011 → Present
    Harris Investor Services, Inc
    West Dundee, IL
  • 03/2021 → Present
    Cary, IL
Previous Registrations
  • 2011-03-21 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Arlington Heights, IL
    Cary, IL
    West Dundee, IL
    Cary, IL
    Arlington Hts, IL
    Carpentersville, IL
    Fox River Grove, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-03-19
S63 Uniform Securities Agent State Law Examination 2004-02-13
  • S66 Uniform Combined State Law Examination
    2011-03-19
  • S63 Uniform Securities Agent State Law Examination
    2004-02-13

View on SEC IAPD

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