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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-06-12 |
| CA | RA | APPROVED | 2025-07-21 |
| IL | RA | APPROVED | 2025-07-21 |
Branch Locations
20 North Wacker Drive Suite 3010, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Brushwood Center | Riverwoods | IL | 09/2020 | 12/2024 |
| Lake Forest Symphony | Lake Forest | IL | 09/2014 | 02/2020 |
| Schmidt Artists | New York | NY | 05/2012 | Present |
| Thrivent Investment Management Inc | Chicago | IL | 03/2021 | 05/2022 |
| Thrivent Financial | Appleton | WI | 03/2021 | 07/2021 |
| Thrivent Financial | Minneapolis | MN | 07/2021 | 05/2022 |
| The Prudential Insurance Company Of America | Chicago | IL | 05/2022 | 08/2023 |
| Pruco Securities Llc | Chicago | IL | 05/2022 | 08/2023 |
| Guardian Life Insurance | San Diego | CA | 09/2023 | 07/2025 |
| Park Avenue Securities | San Diego | CA | 09/2023 | 07/2025 |
| Guardian Life Insurance Company | Oakbrook Terrace | IL | 12/2023 | 07/2025 |
| Park Avenue Securities | Oakbrook Terrace | IL | 12/2023 | 07/2025 |
| Lpl Enterprise Llc | Chicago | IL | 07/2025 | Present |
1. 07/15/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - San Diego, CA - Start Date 07/14/2025 - 160 HRS/ MO | 160 HRS/MO DURING TRADING 2. 07/15/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - San Diego, CA - Start Date 07/14/2025 - 160 HRS/ MO | 160 HRS/MO DURING TRADING 3. 07/15/2025 - Pupin Initiative - Non-Profit Board Member - NOT INV REL - Washington, DC - Start Date 05/05/2024 - 2 HRS/MO | 0 HRS/MO DURING TRADING 4. 07/15/2025 - Schmidt Artists International - Coach/ Sports/ Fitness - NOT INV REL - New York, NY - Start Date 02/02/2012 - 5 HRS/MO | 0 HRS/MO DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-05-06 |
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