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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 2024-10-30
MI RA APPROVED 2017-06-07
  • TX RA
    APPROVED_RES
    Since 2024-10-30
  • MI RA
    APPROVED
    Since 2017-06-07

Branch Locations

28411 Northwestern Hwy #1200, Southfield, MI 48034 • United States

West Bloomfield, MI • 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
Raymond James Financial Services, Inc. Franklin MI 07/2014 06/2017
Raymond James Financial Services Advisors Inc. Franklin MI 04/2015 06/2017
Lpl Finanical Llc Southfield MI 06/2017 Present
Previous Registrations
Other Businesses

1)6/7/17-America Group Retirement Strategy Centers -DBA for LPL Business (entity for LPL business)- Inv. Related- Southfield, MI -100% 2)6/7/17- Blockhead International, LLC- Business Entity For Tax/Investment Purposes Only- Non-Inv. Related- Farmington Hills, MU- 1%. 3) 11/06/2017 - S.M. Advisory, Inc.- Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 11/07/2017 - 0 Hours Per Month/0 During Securities Trading. 4) 3/1/2019 - Comprehensive Planning - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 02/28/2019 - 1 Hour Per Month/0 Hours During Securities Trading. 5) 10/12/2020 - S.A.M. Advisory LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 08/17/2018 - 160 Hours Per Month/7 Hours During Securities Trading. 6) 02/09/2022 - Hollander, Lone & Maxbauer, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/08/2022 - 160 Hours Per Month/160 Hours During Securities Trading. 7) 02/14/2022 - Hollander and Lone, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 08/31/2017 - 40 Hours Per Month/40 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-04-15
  • S66 Uniform Combined State Law Examination
    2015-04-15
Other Names
  • Sam Albert Maxbauer

View on SEC IAPD

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