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Current Employers
Modern Wealth Management, Llc

1712 Main Street Suite 400, Kansas City, MO 64108 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-03-24
  • FL RA
    APPROVED
    Since 2026-03-24

Branch Locations

1250 S Pine Island Road, Plantation, FL 33324 • United States

1712 Main Street Suite 400, Kansas City, MO 64108 • United States

Disclosures

2 disclosure categories 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lwm Advisory Services, Llc Plantation FL 04/2016 Present
Lpl Financial Llc Plantation FL 04/2016 03/2026
Modern Wealth Management, Llc Plantation FL 03/2026 Present
Previous Registrations
  • 2016-04-26 → 2026-07-31
    Plantation, FL
  • 2015-05-07 → 2016-04-15
    Bb&T Investment Services, Inc.
    Davie, FL
    Plantation, FL
    Plantation, FL
    Davie, FL
    Fort Lauderdale, FL
    Pembroke Pines, FL
    Sunrise, FL
    Sunny Isles Beach, FL
    Charlotte, NC
    Coral Springs, FL
    Coral Gables, FL
    Miramar, FL
    Miramar, FL
    Hollywood, FL
    Plantation, FL
  • 2009-11-12 → 2015-05-04
    Coral Gables, FL
    Miami, FL
    Cutler Bay, FL
    Virginia Gardens, FL
    Miami, FL
    Doral, FL
    Sunrise, FL
    Miami, FL
    Hialeah, FL
    Hialeah Gardens, FL
    North Miami Beach, FL
  • 2009-09-04 → 2009-10-20
    Colonial Asset Management Inc
    Miami, FL
    Montgomery, AL
  • 2009-05-02 → 2009-05-18
    Chase Investment Services Corp.
    Coral Springs, FL
    Coral Springs, FL
    Coconut Creek, FL
    Pompano Beach, FL
  • 2007-12-01 → 2009-05-02
    Wamu Investments, Inc.
    Miami, FL
    Coral Springs, FL
    Coconut Creek, FL
    Coral Springs, FL
    Pompano Beach, FL
    Coral Springs, FL
Other Businesses

1. 4/22/2021 - City of Sunrise - No Business Name - 10770 W. Oakland Park Blvd., Sunrise, FL 33351 - Non-Profit Board Member - Started 02/01/2021 - 2 Hours Per Month/0 Hours During Securities Trading - Law Enforcement Advisory Board.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-19
S63 Uniform Securities Agent State Law Examination 2004-12-29
  • S66 Uniform Combined State Law Examination
    2007-11-19
  • S63 Uniform Securities Agent State Law Examination
    2004-12-29

View on SEC IAPD

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