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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2021-11-23
TX RA APPROVED 2021-11-23
  • MO RA
    APPROVED
    Since 2021-11-23
  • TX RA
    APPROVED
    Since 2021-11-23

Branch Locations

13358 Manchester Rd Ste 200, Des Peres, MO 63131 • 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
Metlife Securities Inc. St. Louis MO 01/2015 03/2017
Massachusetts Mutual Life Insurance Company Chesterfield MO 07/2016 11/2021
Mml Investors Services, Llc Chesterfield MO 03/2017 11/2021
Lpl Financial, Llc Des Peres ME 11/2021 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    St. Louis, MO
  • 07/2016 → 11/2021
    Massachusetts Mutual Life Insurance Company
    Chesterfield, MO
  • 03/2017 → 11/2021
    Chesterfield, MO
  • 11/2021 → Present
    Des Peres, ME
Previous Registrations
  • 2017-03-25 → 2021-11-29
    St. Louis, MO
    Chesterfield, MO
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    St. Louis, MO
  • 2010-03-01 → 2015-01-02
    New England Securities
    St. Louis, MO
Other Businesses

1) 11/2021 - DBA for LPL Business (entity for LPL business) - The Planify Group - Investment Related - Des Peres, MO 63131 2) 11/2021 - DBA for LPL Business (entity for LPL business) - Cornerstone Wealth Services - Investment Related - Des Peres, MO 63131 3) 03/01/2022 - The Insurance Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Broker - Start Date - 03/01/2022 - 5 Hours Per Month/5 Hours During Securities Trading. 4) 04/08/2022 - MassMutual - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 04/01/2022 - 3 Hours Per Month/3 Hours During Securities Trading. 5) 02/13/2023 - Cornerstone Wealth Portfolios - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/01/2023.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-17
S63 Uniform Securities Agent State Law Examination 2008-01-29
  • S65 Uniform Investment Adviser Law Examination
    2009-12-17
  • S63 Uniform Securities Agent State Law Examination
    2008-01-29
Other Names
  • Valerie Anne Warren

View on SEC IAPD

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