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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-02-26
IL RA APPROVED 2021-04-01
  • TX RA
    APPROVED_RES
    Since 2026-02-26
  • IL RA
    APPROVED
    Since 2021-04-01

Branch Locations

Wheaton, IL • United States

2655 Warrenville Rd Ste 175, Downers Grove, IL 60515 • 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
J.P. Morgan Securities Llc St. Charles IL 10/2012 03/2021
Lpl Financial Llc Downers Grove IL 04/2021 Present
Previous Registrations
  • 2012-10-01 → 2021-04-22
    Batavia, IL
    St. Charles, IL
  • 2008-06-23 → 2012-10-01
    Chase Investment Services Corp.
    Batavia, IL
    St. Charles, IL
    St. Charles, IL
    Batavia, IL
    Wheaton, IL
    Chicago, IL
Other Businesses

1)4/1/2021- PWA- DBA for LPL Business (entity for LPL business)- Inv. Related- At Reported Business Location(s) - Started 04/01/2021 - 160 Hours Per Month/8 Hours During Securities Trading. 2) 4/1/2021- Professional Wealth Advisors- DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - Started 04/01/2021 - 160 Hours Per Month/8 Hours During Securities Trading. 3) 6/7/2021 - HeadUnit LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 04/12/2021 - 120 Hours Per Month/80 Hours During Securities Trading. 4) 10/15/2021 - PWA Financial Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/12/2021 - 2 Hours Per Month During Securities Trading. 5) 01/30/2024 - Partnerland LLC - Business Entity For Tax/Investment Purposes Only - Not investment Related - At Reported Business Location(s) - Start Date 01/01/2024 - 2 Hours Per Month/2 Hrs During Trading 6) 09/30/2024 - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 04/04/2024- 4 Hours Per Month/ 4Hr During Trading 7) 06/16/2025 - Genesis Wealth LLC - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date :07/01/2025 - 150 Hrs/Mth - 6 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-16
S63 Uniform Securities Agent State Law Examination 2004-08-18
  • S66 Uniform Combined State Law Examination
    2008-06-16
  • S63 Uniform Securities Agent State Law Examination
    2004-08-18
Other Names
  • Shea Goblet
  • John D. Goblet

View on SEC IAPD

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