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Inactive

Lawrence William Schmitt

LPl Financial LLC

Palatine, IL

Palatine, IL

San Diego, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2025-03-27
TX RA APPROVED 2025-03-27
  • IL RA
    APPROVED
    Since 2025-03-27
  • TX RA
    APPROVED
    Since 2025-03-27

Branch Locations

625 N. North Court, Palatine, IL 60067 • United States

625 N. North Court, Palatine, IL 60067 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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
Benham Ichen Knox Palatine IL 07/1983 06/2020
Bik & Co., Llp Palantine IL 11/1990 12/2016
Wipfli, Llp. Palantine IL 01/2016 05/2020
B.RIley Wealth Management, Inc. Inverness IL 06/2020 03/2023
B. Riley Wealth Advisors, Inc. Inverness IL 07/2022 03/2025
Lpl Financial Llc Palatine IL 03/2025 Present
  • 07/1983 → 06/2020
    Benham Ichen Knox
    Palatine, IL
  • 11/1990 → 12/2016
    Bik & Co., Llp
    Palantine, IL
  • 01/2016 → 05/2020
    Wipfli, Llp.
    Palantine, IL
  • 06/2020 → 03/2023
    B.RIley Wealth Management, Inc.
    Inverness, IL
  • 07/2022 → 03/2025
    B. Riley Wealth Advisors, Inc.
    Inverness, IL
  • 03/2025 → Present
    Lpl Financial Llc
    Palatine, IL
Previous Registrations
  • 2022-08-18 → 2025-04-16
    B. Riley Wealth Advisors, Inc.
    Inverness,, IL
  • 2020-08-31 → 2023-03-31
    B. Riley Wealth Management
    Inverness, IL
    Chicago, IL
Other Businesses

1) 02/12/2025 - Heritage Wealth Group, LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-08-31
S66 Uniform Combined State Law Examination 2007-07-30
  • S65 Uniform Investment Adviser Law Examination
    2020-08-31
  • S66 Uniform Combined State Law Examination
    2007-07-30

View on SEC IAPD

Other Firms

COMMONWEALTH FINANCIAL NETWORK
LPL ENTERPRISE, LLC
LOCKE FINANCIAL SERVICES, INC.
OSAIC WEALTH, INC.
EDWARD JONES
CITIGROUP GLOBAL MARKETS INC.
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC

Other Investors

STEPHEN TODD MACTAVISH
JOHN ROBERT RESSLER
ALAN NEAL LEVINE
TODD ANDREW LEFEVRE
MARK EDWARD LEFEVRE
DENZIL ALAN LOCKE
ERIC ARTHUR MARZINKE
Robert Todd Christman

Other Offices

LPL FINANCIAL LLC · PALATINE, IL
COMMONWEALTH FINANCIAL NETWORK · Palatine, IL
LPL ENTERPRISE, LLC · PALATINE, IL
LOCKE FINANCIAL SERVICES, INC. · PALATINE, IL
LOCKE FINANCIAL SERVICES, INC. · Palatine, IL
OSAIC WEALTH, INC. · PALATINE, IL
EDWARD JONES · PALATINE, IL
CITIGROUP GLOBAL MARKETS INC. · Palatine, IL

More in Palatine, IL

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