Benjamin Bathke

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-03-27
MN	RA	APPROVED	2022-09-18

TX RA
APPROVED

Since 2023-03-27
MN RA
APPROVED

Since 2022-09-18

Branch Locations

221 Lake St S Ste 104, Long Prairie, MN 56347 • United States

611 Summit Ave, Detroit Lakes, MN 56501 • United States

4820 Cr 77 Clark Suite, Nisswa, MN 56468 • United States

2720 W 43Rd St Ste 204, Minneapolis, MN 55410 • 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
Gwfs Equities, Inc	Greenwood Village	CO	04/2021	08/2022
Sap Concur	Saint Louis Park	MN	11/2019	03/2021
At&T	Dallas	TX	07/2019	10/2019
Rock Bottom Brewery	Minneapolis	MN	11/2017	05/2018
Rock Bottom Brewery	Milwaukee	WI	06/2018	08/2018
Rock Bottom Brewery	Minneapolis	MN	09/2018	05/2019
Rock Bottom Brewery	Minneapolis	MN	10/2019	11/2019
Kohls Corporation	Menonomee Falls	WI	06/2018	08/2018
West Bend Mutual Insurance	West Bend	WI	05/2017	08/2017
Texas Roadhouse	West Bend	WI	05/2017	08/2017
University Of Minnesota	Minneapolis	MN	01/2017	05/2017
Jimmy Johns	Minneapolis	MN	09/2016	05/2017
Jimmy Johns	Minneapolis	MN	09/2017	11/2017
Lpl Financial	Minneapolis	MN	08/2022	Present

04/2021 → 08/2022

Gwfs Equities, Inc

Greenwood Village, CO
11/2019 → 03/2021

Sap Concur

Saint Louis Park, MN
07/2019 → 10/2019

At&T

Dallas, TX
11/2017 → 05/2018

Rock Bottom Brewery

Minneapolis, MN
06/2018 → 08/2018

Rock Bottom Brewery

Milwaukee, WI
09/2018 → 05/2019

Rock Bottom Brewery

Minneapolis, MN
10/2019 → 11/2019

Rock Bottom Brewery

Minneapolis, MN
06/2018 → 08/2018

Kohls Corporation

Menonomee Falls, WI
05/2017 → 08/2017

West Bend Mutual Insurance

West Bend, WI
05/2017 → 08/2017

Texas Roadhouse

West Bend, WI
01/2017 → 05/2017

University Of Minnesota

Minneapolis, MN
09/2016 → 05/2017

Jimmy Johns

Minneapolis, MN
09/2017 → 11/2017

Jimmy Johns

Minneapolis, MN
08/2022 → Present

Lpl Financial

Minneapolis, MN

Other Businesses

1) 08/26/2022 - Nelson Wealth Planning - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 01/28/2026 - Bathke Enterprises LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Home Based - Start Date 01/16/2026 - 160 hours per month/ during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-09-14
S63	Uniform Securities Agent State Law Examination	2021-05-24

S66 Uniform Combined State Law Examination

2022-09-14
S63 Uniform Securities Agent State Law Examination

2021-05-24