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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-04 |
| IL | RA | APPROVED | 2025-01-23 |
Branch Locations
190 E Delaware Pl, Chicago, IL 60611 • United States
231 S La Salle St # 13 13Th Floor, Chicago, IL 60604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bancorp Investments, Inc. | Chicago | IL | 10/2015 | 09/2023 |
| Wintrust Investments, Llc | Chicago | IL | 09/2023 | 01/2025 |
| Lpl Financial Llc | Chicago | IL | 01/2025 | Present |
1. 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 09/05/2023- 160 Hours Per Month- 160 Hours During Trading 2. 01/2025- Wintrust Investment & Insurance Agency- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 09/05/2023- 160 Hours Per Month- 160 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-07-14 |
| S63 | Uniform Securities Agent State Law Examination | 2008-04-11 |
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