Carissa Lynn Donath

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2026-06-22

WI RA
APPROVED

Since 2026-06-22

Branch Locations

W156N11150 Pilgrim Rd, Germantown, WI 53022 • 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

Organization	City	State	From	To
Bmo Bank Na	Chicago	IL	04/2007	Present
Lpl Financial Llc	Germantown	WI	03/2021	Present

04/2007 → Present

Bmo Bank Na

Chicago, IL
03/2021 → Present

Lpl Financial Llc

Germantown, WI

Other Businesses

1) 03/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - Germantown, WI 53022 2) 03/24/2021 - Financial Institution Duty - Referrals - 10Hrs/Mo 0Hrs/Mo During Trading - Investment Related - Germantown, WI 53022 - Start Date 04/23/2007 3) 03/24/2021 - Financial Institution Duty - BMO Bank NA - 120Hrs/Mo 40Hrs/Mo During Trading - Investment Related - Germantown, WI 53022 - Start Date 04/23/2007 4) 03/24/2021 - Notary - Carissa Donath - 1Hr/Mo 0Hrs/Mo During Trading - Investment Related - Germantown, WI 53022 - Start Date 04/23/2007

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2026-06-18
S63	Uniform Securities Agent State Law Examination	2016-07-15

S65 Uniform Investment Adviser Law Examination

2026-06-18
S63 Uniform Securities Agent State Law Examination

2016-07-15

Other Names

Carissa Lynn Serwe
Carissa Donath

View on SEC IAPD