Kenneth E Toops

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-05-16
TX	RA	APPROVED	2025-05-15

FL RA
APPROVED

Since 2025-05-16
TX RA
APPROVED

Since 2025-05-15

Branch Locations

2831 Nw 43Rd Street, Gainesville, FL 32606 • United States

9680 Sw 114Th Street, Ocala, FL 34481 • 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

Organization	City	State	From	To
Swbc Investment Services	San Antonio	TX	07/2011	02/2021
Swbc Investment Company	San Antonio	TX	07/2011	02/2021
Cuso Financial Services, Lp	San Diego	CA	02/2021	05/2025
Lpl Financial Llc	Ocala	FL	05/2025	Present

07/2011 → 02/2021

Swbc Investment Services

San Antonio, TX
07/2011 → 02/2021

Swbc Investment Company

San Antonio, TX
02/2021 → 05/2025

Cuso Financial Services, Lp

San Diego, CA
05/2025 → Present

Lpl Financial Llc

Ocala, FL

Previous Registrations

2021-02-10 → 2025-05-15

Cuso Financial Services, L.P.

San Diego, CA

Gainesville, FL

San Diego, CA

Gainesville, FL

Ocala, FL

Ocala, FL
2011-07-11 → 2021-02-11

Swbc Investment Company

San Antonio, TX

Ocala, FL

Gainesville, FL
2009-01-23 → 2011-07-11

Wells Fargo Clearing Services, Llc

Ocala, FL

Other Businesses

1. 5/5/2025: no business name; Real Estate Rental; renting deceased father's single family home; Inv. related; start date 6/1/2024; 0hrs/mo.; 0hrs during trading. 2. 5/5/2025: Florida Wealth Management; At reported business location(s); DBA for LPL Business (entity for LPL business); Inv. related; start date 5/16/2025; 160hrs/mo. during trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-01-14

S66 Uniform Combined State Law Examination

2009-01-14

View on SEC IAPD