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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2021-07-21
TX RA APPROVED 2021-07-21
  • KY RA
    APPROVED
    Since 2021-07-21
  • TX RA
    APPROVED
    Since 2021-07-21

Branch Locations

424 Lewis Hargett Cir Ste 250, Lexington, KY 40503 • United States

529 Centre View Blvd, Crestview Hills, KY 41017 • 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
Waddell & Reed, Inc Ft Mitchell KY 12/2007 07/2021
Various Insurance Carriers For W&R Insurance Agencies, Inc. Union KY 05/2008 07/2021
Daniels Industries, Inc. Fort Wright KY 03/2008 10/2017
Upspring Cincinnati OH 05/2009 09/2016
Wellington Place Alexandria KY 07/2009 10/2017
Asrlb, Llc. Union KY 01/2010 07/2021
Legacy Ft Mitchell KY 06/2011 02/2017
Northern Kentucky Educators Federal Credit Union Highland Heights KY 02/2013 07/2021
Premier Partners Chapter Of Bni Florence KY 10/2017 07/2021
Lpl Financial Llc Ft. Mitchell KY 07/2021 Present
  • 12/2007 → 07/2021
    Waddell & Reed, Inc
    Ft Mitchell, KY
  • 05/2008 → 07/2021
    Various Insurance Carriers For W&R Insurance Agencies, Inc.
    Union, KY
  • 03/2008 → 10/2017
    Daniels Industries, Inc.
    Fort Wright, KY
  • 05/2009 → 09/2016
    Upspring
    Cincinnati, OH
  • 07/2009 → 10/2017
    Wellington Place
    Alexandria, KY
  • 01/2010 → 07/2021
    Asrlb, Llc.
    Union, KY
  • 06/2011 → 02/2017
    Legacy
    Ft Mitchell, KY
  • 02/2013 → 07/2021
    Northern Kentucky Educators Federal Credit Union
    Highland Heights, KY
  • 10/2017 → 07/2021
    Premier Partners Chapter Of Bni
    Florence, KY
  • 07/2021 → Present
    Ft. Mitchell, KY
Previous Registrations
  • 2008-04-23 → 2021-07-21
    Waddell & Reed
    Ft. Mitchell, KY
    West Chester, OH
    Charleroi, PA
Other Businesses

1) 06/28/2021- WRI Investments- DBA for LPL Business (entity for LPL business)- inv. related- Ft. Mitchell, KY 2) 06/28/2021- ASRLB, LLC.- Business Entity For Tax/Investment Purposes Only- inv. related- Union, KY- 0hrs/mth 3) 04/23/2024 - ASRLB Holdings, LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Crestview Hills, KY - Start Date 01/31/2024 - 0 Hours Per Month/ During Trading 4. 10/21/2025 - Aurora Financial Consultants - DBA for LPL Business (entity for LPL business) - Inv Rel - At reported business Location (s) - Start date: 10/15/2025 - 0 Hours Per Month/ During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-04-21
  • S66 Uniform Combined State Law Examination
    2008-04-21
Designations

View on SEC IAPD

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