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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2022-05-18
PA RA APPROVED 2022-05-18
  • DE RA
    APPROVED
    Since 2022-05-18
  • PA RA
    APPROVED
    Since 2022-05-18

Branch Locations

720 Moore Rd, King Of Prussia, PA 19406 • 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
American Heritage Fcu King Of Prussia PA 07/2020 Present
American Spirit Fcu Newark DE 06/2018 06/2020
Unemployed Wilmington DE 04/2011 05/2018
Cuna Brokerage Services, Inc Waverly IA 04/2021 Present
Lpl Financial Llc King Of Prussia PA 05/2022 Present
  • 07/2020 → Present
    American Heritage Fcu
    King Of Prussia, PA
  • 06/2018 → 06/2020
    American Spirit Fcu
    Newark, DE
  • 04/2011 → 05/2018
    Unemployed
    Wilmington, DE
  • 04/2021 → Present
    Cuna Brokerage Services, Inc
    Waverly, IA
  • 05/2022 → Present
    King Of Prussia, PA
Previous Registrations
  • 2021-09-20 → 2022-05-18
    Cuna Brokerage Services, Inc.
    King Of Prussia, PA
Other Businesses

1) 05-18-2022-American Heritage FCU- Investment Related -2060 Lion Rd Philadelphia PA 12345- Financial Institution Duty-Advisor-START DATE: 06/24/2020-160 Hours Per Month- 2) 05-18-2022-American Heritage Investment & Retirement Center- Investment Related -At Reported Business Location(s)- DBA for LPL Business (entity for LPL business)-

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-23
  • S66 Uniform Combined State Law Examination
    2021-08-23

View on SEC IAPD

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