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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-03-25
MO RA APPROVED 2021-03-24
  • TX RA
    APPROVED
    Since 2021-03-25
  • MO RA
    APPROVED
    Since 2021-03-24

Branch Locations

2301 Kingshighway, St Louis, MO 63110 • United States

3701 S Lindbergh Blvd, Sunset Hills, MO 63127 • United States

Saint Louis, MO • 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
M&I Brokerage Services Inc St. Louis MO 03/2007 Present
Bmo Harris Financial Advisors, Inc. St Louis MO 08/2012 Present
Lpl Financial Llc St Louis MO 03/2021 Present
  • 03/2007 → Present
    M&I Brokerage Services Inc
    St. Louis, MO
  • 08/2012 → Present
    Bmo Harris Financial Advisors, Inc.
    St Louis, MO
  • 03/2021 → Present
    St Louis, MO
Previous Registrations
  • 2012-08-01 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    St Louis, MO
    St Louis, MO
    St Louis, MO
    Arnold, MO
    Creve Coeur, MO
    St Louis, MO
    St Louis, MO
    Chicago, IL
  • 2012-04-12 → 2012-08-01
    M&I Financial Advisors, Inc
    Clayton, MO
    St Louis, MO
    St Louis, MO
  • 2004-11-03 → 2007-04-02
    Maryland Heights, MO
    St Louis, MO
Other Businesses

1)03/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - St. Louis, MO 63110 2)07/2017 - Farm - Yount Farms, Inc. - 1Hr/Mo 0HRs/Mo During Trading - Investment Related - Sikestown, MO 3)12/2011 - Farm - Yount Family Properties LP - 1Hr/Mo 0Hrs/Mo During Trading - Investment Related - Sikestown, MO

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-11
  • S66 Uniform Combined State Law Examination
    2004-09-11
Designations

View on SEC IAPD

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