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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2021-01-20
  • OH RA
    APPROVED
    Since 2021-01-20

Branch Locations

11260 Chester Rd, Ste 250, Cincinnati, OH 45246 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
U.S. Bancorp Investments, Inc. Hamilton OH 03/2010 10/2016
Jp Morgan Securities Llc Mason OH 10/2016 01/2021
Lpl Financial, Llc Cincinnati OH 01/2021 Present
Previous Registrations
  • 2016-10-21 → 2021-01-29
    Mason, OH
    Cincinnati, OH
    Blue Ash, OH
    Evendale, OH
    Middletown, OH
    Oxford, OH
    Mason, OH
  • 2010-03-03 → 2016-10-12
    Hamilton, OH
    Monroe, OH
    Hamilton, OH
    Middletown, OH
    Middletown, OH
    Monroe, OH
    Hamilton, OH
    Hamilton, OH
    Hamilton, OH
    Oxford, OH
    Middletown, OH
    Monroe, OH
    Hamilton, OH
    Hillsboro, OH
    Owensville, OH
    Washington Court House, OH
    Circleville, OH
    Sardinia, OH
  • 2009-11-13 → 2010-02-18
    Liberty Township, OH
    West Chester, OH
    Mason, OH
    West Chester, OH
    Mason, OH
    Maineville, OH
    Mason, OH
    Maineville, OH
    Cincinnati, OH
    Cincinnati, OH
  • 2007-12-06 → 2009-11-13
    Natcity Investments, Inc.
    Maineville, OH
    West Chester, OH
    Maineville, OH
    Mason, OH
    Columbus, OH
    Liberty Township, OH
    West Chester, OH
    Mason, OH
    Cincinnati, OH
    West Chester, OH
    Mason, OH
    Maineville, OH
  • 2006-10-26 → 2007-11-28
    Sidney, OH
    Botkins, OH
    Versailles, OH
    Russia, OH
  • 2006-03-01 → 2006-10-03
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Milford, OH
Other Businesses

(1) 05/24/2022 - Brownstone Financial - Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 02/01/2021 - 0 Hours Per Month/ 0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-28
S63 Uniform Securities Agent State Law Examination 2003-07-10
  • S66 Uniform Combined State Law Examination
    2006-09-28
  • S63 Uniform Securities Agent State Law Examination
    2003-07-10
Other Names
  • Dan Brown
  • Daniel Joseph Brown

View on SEC IAPD

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