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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2020-09-08 |
| TX | RA | APPROVED | 2020-09-08 |
Branch Locations
2911 Breckenridge Dr, Cape Girardeau, MO 63701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mass Mutual Life Insurance Company | Cape Girardeau | MO | 05/2011 | 09/2020 |
| Mml Investors Services, Llc | Cape Girardeau | MO | 05/2011 | 09/2020 |
| Lpl Financial Llc | Cape Girardeau | MO | 09/2020 | Present |
1)09/03/2020 - Thompson Schoch Financial Advisors - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 07/2015 2) 12/15/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 09/05/2011 - 20 Hours Per Month/5 Hour During Securities Trading. 3) 12/09/2021 - Gutwein Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/08/2011 - 160 Hours Per Month/40 Hours During Securities Trading. 4) 05/05/2023 - Thompson Schoch Capital, LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Start Date 05/08/2023 - 0 Hours Per Month/0 Hours During Securities Trading 5) 05/07/2024 - TS|FA - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 4/29/2024 - 0 Hrs/Mo.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-07-07 |
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