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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-02-04
IL RA APPROVED 2025-01-23
  • TX RA
    APPROVED
    Since 2025-02-04
  • IL RA
    APPROVED
    Since 2025-01-23

Branch Locations

Ellyn, IL • United States

6734 Joliet Rd, Countryside, IL 60525 • United States

5300 W. 95Th St., Oak Lawn, IL 60453 • United States

10258 S. Western Ave, Chicago, IL 60643 • 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
Wayne Hummer Investments Chicago IL 10/2008 01/2025
Lpl Financial Llc Oak Lawn IL 01/2025 Present
  • 10/2008 → 01/2025
    Wayne Hummer Investments
    Chicago, IL
  • 01/2025 → Present
    Oak Lawn, IL
Previous Registrations
  • 2008-10-29 → 2025-01-23
    Wintrust Investments Llc
    Chicago, IL
    Chicago, IL
    Riverside, IL
    Evergreen Park, IL
    Oak Lawn, IL
    Glen Ellyn, IL
  • 2005-04-05 → 2008-10-30
    Chicago, IL
    Chicago, IL
Other Businesses

1. 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 09/09/2024- 160 Hours Per Month- 160 Days During Trading 2. 01/2025- Wintrust- Non-Variable Insurance- At Reported Business Location(s)- Start date 10/05/2007- 5 Hours Per Month- 5 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-31
  • S66 Uniform Combined State Law Examination
    2005-03-31
Designations

View on SEC IAPD

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