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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2023-07-17
  • MI RA
    APPROVED
    Since 2023-07-17

Branch Locations

730 S Rochester Rd, Rochester Hills, MI 48307 • 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
Sigma Financial Corporation Ann Arbor MI 05/2006 07/2023
Masen Frantz And Associates Clinton Township MI 03/2004 07/2023
Sigma Planning Corporation Ann Arbor MI 01/2007 07/2023
Lpl Financial Rochester Hills MI 07/2023 Present
  • 05/2006 → 07/2023
    Sigma Financial Corporation
    Ann Arbor, MI
  • 03/2004 → 07/2023
    Masen Frantz And Associates
    Clinton Township, MI
  • 01/2007 → 07/2023
    Sigma Planning Corporation
    Ann Arbor, MI
  • 07/2023 → Present
    Lpl Financial
    Rochester Hills, MI
Previous Registrations
  • 2009-09-25 → 2023-07-17
    Clinton Twp, MI
    Ann Arbor, MI
    Rochester, MI
Other Businesses

1- 06/2023 / Schafer Wealth Management, INC / DBA for LPL Business (entity for LPL business) / Investment Related / 160 HRS Mnth / 8 Hrs Trading / 100 Time Spnt/ start date 1/31/2020 2- 06/2023 / Pointe Pizza inc / Business Owner / Non Investment Related / 15 HRS Mnth/ start date 10/12/2000 3- 09/12/2023 - Strategicfinancialpathways - Non-Variable Insurance - Life Agent - Investment Related - At Reported Business Location(s) - Start Date 08/15/2023 - 10 Hours Per Month/ 0 Hours During Trading 4- 11/13/2023 - Strategicfinancialpathways - Business Entity For Tax/Investment Purposes Only - Owner - Not Investment Related - At Reported Business Location(s) - Start Date 8/15/2023 - 0 Hours Per Month

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-03-06
  • S63 Uniform Securities Agent State Law Examination
    2004-03-06

View on SEC IAPD

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