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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2018-12-11
TX RA APPROVED_RES 2010-07-28
IN RA APPROVED 2009-06-05
  • KY RA
    APPROVED
    Since 2018-12-11
  • TX RA
    APPROVED_RES
    Since 2010-07-28
  • IN RA
    APPROVED
    Since 2009-06-05

Branch Locations

225 S East St Ste 156, Indianapolis, IN 46202 • United States

1527 Kossuth St, Lafayette, IN 47905 • United States

Lilly Corporate Center Building 21/C Dc 2015, Indianapolis, IN 46285 • United States

1400 West Raymond Drop 4901, Indianapolis, IN 46285 • 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
Lpl Financial Llc Indianapolis IN 06/2009 Present
Elements Wealth Management Indianapolis IN 01/2015 Present
  • 06/2009 → Present
    Indianapolis, IN
  • 01/2015 → Present
    Elements Wealth Management
    Indianapolis, IN
Previous Registrations
  • 2008-01-29 → 2009-05-20
    Chase Investment Services Corp.
    Elkhart, IN
  • 2007-10-25 → 2007-12-18
    St Louis, MO
Other Businesses

1. 10/03/2014 - Elements Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/02/14 - 160 Hours Per Month/130 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-24
  • S66 Uniform Combined State Law Examination
    2007-10-24
Other Names
  • Raymond H Mark

View on SEC IAPD

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