Karl James Nicholas Thoeni

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-11-22
CA	RA	APPROVED	2014-04-28

TX RA
APPROVED_RES

Since 2019-11-22
CA RA
APPROVED

Since 2014-04-28

Branch Locations

8343 Church St, Gilroy, CA 95020-4450 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Gilroy	CA	09/2012	Present

09/2012 → Present

Lpl Financial Llc

Gilroy, CA

Other Businesses

(1) 01/03/2014: Ellington Financial, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 100% Time Spent (2) 08/18/2016: No Business Name - Business Owner - Investment Related - 481 W Alisal St, Salinas, CA 93901 - Start 08/15/2016 - 5 Hr/Mo; 0 Hours During Securities Trading - sharpen knives and tools

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-04-22

S66 Uniform Combined State Law Examination

2014-04-22

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

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