Charles K Grugel

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-01-08
WI	RA	APPROVED	2024-01-08

TX RA
APPROVED

Since 2024-01-08
WI RA
APPROVED

Since 2024-01-08

Branch Locations

227521 Harrier Ave, Wausau, WI 54401 • 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
Ohio National	Cincinnati	OH	07/2001	Present
Sagepoint Financial Advisors	Wausua	WI	02/2011	09/2023
Osaic Wealth, Inc.	Wausau	WI	09/2023	01/2024
Lpl Financial Llc	Wausau	WI	01/2024	Present

07/2001 → Present

Ohio National

Cincinnati, OH
02/2011 → 09/2023

Sagepoint Financial Advisors

Wausua, WI
09/2023 → 01/2024

Osaic Wealth, Inc.

Wausau, WI
01/2024 → Present

Lpl Financial Llc

Wausau, WI

Previous Registrations

2023-09-01 → 2024-01-11

Osaic Wealth, Inc.

Wausau, WI
2011-02-09 → 2023-09-01

Osaic Services, Inc.

Wausau, WI
2009-02-02 → 2011-03-31

Equity Design Advisors, Llc

Wausau, WI

Other Businesses

1)01/04/2024 - Equity Design Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 01/2024 - 160 Hr/Mth 2)01/04/2024 - Equity Design Group - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 01/2024 - 4 Hr/Mth

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-10-29
S63	Uniform Securities Agent State Law Examination	2000-02-25

S66 Uniform Combined State Law Examination

2008-10-29
S63 Uniform Securities Agent State Law Examination

2000-02-25

Other Names

Charles K Grugel
Charles K Grugel

View on SEC IAPD