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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2022-06-23
TX RA APPROVED_RES 2022-06-23
  • MN RA
    APPROVED
    Since 2022-06-23
  • TX RA
    APPROVED_RES
    Since 2022-06-23

Branch Locations

16795 County Rd 24 Ste 110, Plymouth, MN 55447 • United States

108 N Main St, Le Sueur, MN 56058-1803 • United States

2145 Woodlane Dr Ste 108, Woodbury, MN 55125-1920 • 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
Invest Financial Corp. Tampa FL 08/2009 11/2016
Royal Alliance Associates, Inc. New York NY 11/2016 06/2022
Focus Financial Network Minneapolis MN 11/2016 06/2022
Lpl Financial, Llc Le Sueur MN 06/2022 Present
  • 08/2009 → 11/2016
    Invest Financial Corp.
    Tampa, FL
  • 11/2016 → 06/2022
    Royal Alliance Associates, Inc.
    New York, NY
  • 11/2016 → 06/2022
    Focus Financial Network
    Minneapolis, MN
  • 06/2022 → Present
    Le Sueur, MN
Previous Registrations
  • 2016-11-17 → 2022-06-23
    Le Sueur, MN
  • 2009-08-31 → 2016-11-17
    Invest Financial Corporation
    Henderson, MN
    Knoxville, IA
    Luverne, MN
    Le Center, MN
    Le Sueur, MN
    Belle Plaine, MN
  • 2004-04-07 → 2009-08-31
    Clive, IA
    Des Moines, IA
    West Des Moines, IA
    W Des Moines, IA
Other Businesses

1) 06/21/2022 - Real Estate Rental - BRAD DAVIS - Investment Related - 1 Hr/Mon - 1 Hr/Trading - Le Sueur, MN 56058 - Start date: 01/1/2014 2) 06/21/2022 - DBA for LPL Business (entity for LPL business) - KMF Advisors - Investment Related - Le Sueur, MN 56058 - Start date: 05/2022 3) 08/02/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - insurance agent - Start Date - 07/27/2022 - 5 Hours Per Month/3 Hours During Securities Trading. 4) 12/28/2023 - Law Tax and Financial Services - Inv Related - Woodbury, MN - Tax Prep/Accounting/CPA - Co-Owner - Started: 2/10/2023 - 10 Hrs/Mo; 5 Hrs During Trading. 5) 07/24/2024 - KMF Insurance Agency - Insurance Agency - Investment Related - At Reported Business Location(s) - Start Date 10/17/2022 - 10 Hours Per Month/ 1 Hour During Trading 6. 10/13/2025 - Senior Benefits Sign Up - Insurance Agency - Investment Related - At Reported Business Location(s) - Start Date 10/03/2025 - 5 Hours Per Month/ 2 Hour During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-06
  • S66 Uniform Combined State Law Examination
    2004-04-06
Other Names
  • Brad Davis

View on SEC IAPD

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