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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-12-01
IL RA APPROVED 2018-09-28
  • TX RA
    APPROVED_RES
    Since 2021-12-01
  • IL RA
    APPROVED
    Since 2018-09-28

Branch Locations

910 W. Lake St., Unit # 108, Roselle, IL 60172 • United States

Itasca, IL • 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
Kevin Moore Elk Grove Village IL 11/2010 09/2018
Cetera Advisor Networks Llc El Segundo CA 09/2013 09/2018
Lpl Financial, Llc Elk Grove Village IL 09/2018 Present
  • 11/2010 → 09/2018
    Kevin Moore
    Elk Grove Village, IL
  • 09/2013 → 09/2018
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 09/2018 → Present
    Elk Grove Village, IL
Previous Registrations
  • 2014-01-06 → 2018-10-04
    Cetera Wealth Services, Llc
    Elk Grove Village, IL
    Elk Grove Village, IL
Other Businesses

1. 9/28/2018 - PREMIER FINANCIAL NETWORK AND TAX ADVISORS - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 7/2014 - 30 Hours Per Month. 2. 9/28/2018 - COMPUTER AND TECHNOLOGY - Not Investment Related - Home Based - BUSINESS OWNER - Started 11/18/2010 - 4 Hours Per Month - PROVIDE TECHNOLOGICAL SUPPORT AND INFORMATION PROCESSING IMPLEMENT INFORMATION SYSTEMS AND ADVISE ON OTHER TECHNOLOGY NEEDS. 3. 07/05/2022 - Other - Notary - Investment Related - At Reported Business Location(s) - Start Date 03/16/2020 - 0 hours per month/ during trading 4. 12/15/2022 - COMPUTER AND TECHNOLOGY, BUSINESS - Not Investment Related - At Reported Business Location(s) - Other - Business Owner - Owner - Start Date - 11/18/2010 - 2 Hours Per Month/2 Hours During Securities Trading 5. 05/25/2023 - Red Letter Financial LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/17/2023 - 160 Hours Per Month/ During Securities Trading 6. 9/12/2023: At reported business location(s); Non-Variable Insurance; Inv. related; start date 11/10/2020; 4hrs/mo.; 4hrs during trading. 7. 05/28/2025 - Brass Tacks Financial - Inv. Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:05/27/2025 - 150 Hours Per Month/100 During Securities Trading 8. 08/11/2025 - Real Estate Rental - At Reported Business Location(s) - Inv rel - Start Date:08/06/2025 - 0 Hours Per Month/0 During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-12-17
  • S66 Uniform Combined State Law Examination
    2013-12-17

View on SEC IAPD

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