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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-05-09
IL RA APPROVED 2021-03-30
  • TX RA
    APPROVED
    Since 2024-05-09
  • IL RA
    APPROVED
    Since 2021-03-30

Branch Locations

One Northfield Plaza Ste 300, Northfield, IL 60093 • United States

129 Commercial Dr Unit 9, Yorkville, IL 60560 • United States

129 Commercial Drive Unit 4, Yorkville, IL 60560 • 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
Spectrum Retirement Communities Denver CO 09/2019 11/2020
The Well Geneva IL 05/2013 09/2019
Lpl Financial, Llc Yorkville IL 11/2020 Present
  • 09/2019 → 11/2020
    Spectrum Retirement Communities
    Denver, CO
  • 05/2013 → 09/2019
    The Well
    Geneva, IL
  • 11/2020 → Present
    Yorkville, IL
Other Businesses

1)02/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - MILESTONE WEALTH DESIGN - INVESTMENT RELATED - YORKVILLE, IL 2)02/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - MALAS FINANCIAL INC - INVESTMENT RELATED - YORKVILLE, IL

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-30
  • S66 Uniform Combined State Law Examination
    2021-03-30

View on SEC IAPD

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