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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 2020-02-12
WI RA APPROVED 2018-02-14
  • TX RA
    APPROVED_RES
    Since 2020-02-12
  • WI RA
    APPROVED
    Since 2018-02-14

Branch Locations

6700 Washington Ave, Racine, WI 53406 • United States

Delavan, WI • 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
Invest Financial Corporation Tampa FL 03/2013 02/2018
Johnson Bank Racine WI 03/2013 Present
Lpl Financial Llc Racine WI 02/2018 Present
  • 03/2013 → 02/2018
    Invest Financial Corporation
    Tampa, FL
  • 03/2013 → Present
    Johnson Bank
    Racine, WI
  • 02/2018 → Present
    Racine, WI
Previous Registrations
  • 2013-03-18 → 2018-02-20
    Invest Financial Corporation
    Janesville, WI
    Racine, WI
    Racine, WI
    Appleton, WI
    Racine, WI
  • 2011-10-25 → 2013-03-20
    Janesville, WI
  • 2007-10-10 → 2011-10-11
    Cetera Investment Services Llc
    Sussex, WI
    Waukesha, WI
    Waukesha, WI
Other Businesses

1. 12/31/2019 - JOHNSON FINANCIAL GROUP FINANCIAL ADVISORS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/11/2019 - 50 Hours Per Month/50 Hours During Securities Trading. 2. 02/24/2022 - Impreza Salon - Not Investment Related - 5540 State Road 50 Suite 103, Delavan, WI 53115 - Business Owner - Start Date: 09/06/1996 - 5 Hours Per Month - Full service beauty salon/ part-owner; helps out w/ maintenance 3. 05/23/2023 - Johnson Financial Group-Trust Department - Not Investment Related - Milwaukee, WI - Other - Referral Compensation from Trust Dept - Start Date 06/01/2023 - 1 Hour Per Month/ 1 Hour During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-16
  • S66 Uniform Combined State Law Examination
    2007-04-16

View on SEC IAPD

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