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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-08-03
TX RA APPROVED 2023-08-03
  • OH RA
    APPROVED
    Since 2023-08-03
  • TX RA
    APPROVED
    Since 2023-08-03

Branch Locations

1929 E. Royalton Rd., Bldg A, Broadview Heights, OH 44147 • 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
Metlife Securities Inc. Akron OH 10/2009 03/2017
Mass Mutual Life Insurance Company Cleveland OH 07/2016 08/2023
Mml Investors Services Cleveland OH 03/2017 08/2023
Lpl Cleveland OH 08/2023 Present
  • 10/2009 → 03/2017
    Metlife Securities Inc.
    Akron, OH
  • 07/2016 → 08/2023
    Mass Mutual Life Insurance Company
    Cleveland, OH
  • 03/2017 → 08/2023
    Mml Investors Services
    Cleveland, OH
  • 08/2023 → Present
    Lpl
    Cleveland, OH
Previous Registrations
  • 2017-03-25 → 2023-08-03
    Broadview Heights, OH
    Cleveland, OH
  • 2009-10-29 → 2017-03-25
    Msi Financial Services, Inc.
    Broadview Hts, OH
    Dublin, OH
    Broadview Heights, OH
    North Royalton, OH
    Broadview Hts, OH
  • 2007-08-20 → 2009-10-16
    Sii Investments, Inc.
    Parma, OH
  • 2004-08-02 → 2007-08-17
    Fsc Securities Corporation
    Parma, OH
    Parma, OH
Other Businesses

1) 7/2023- Stratos Wealth Management- DBA for LPL Business (entity for LPL business)- Inv. Related- At reported business location(s) 2) 7/2023- NONMMLIA - Non-Variable Insurance - Agent selling life, group life, fixed annuity, disability income and LTC- Inv. Related- Beachwood, OH- start date 6/5/2019- 3hrs/mth 3) 05/12/2025 - GILLIGAN WEALTH MANAGEMENT - Investment Related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - Start Date:05/06/2025 - 80 Hrs/Mth - 80 Hrs During Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-01-15
  • S63 Uniform Securities Agent State Law Examination
    2019-01-15
Other Names
  • Mary Jo Hughes
  • Mary Jo Gilligan

View on SEC IAPD

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