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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-11-01
  • IL RA
    APPROVED
    Since 2024-11-01

Branch Locations

779 Wall St, O Fallon, IL 62269 • 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
Lpl Financial, Llc O'FAllon IL 08/2023 Present
Divorce Dollars And Sense Swansea IL 07/2020 06/2023
Greensfelder, Hemker, & Gale Pc St. Louis MO 03/2020 07/2020
Mgm Law Firm Ofallon IL 10/2019 03/2020
Charming Charlie Fairview Heights IL 11/2015 10/2019
Paszkiewicz Court Reporting Maryville IL 08/2017 08/2018
Quest Records Llc Swansea IL 09/2016 08/2017
Ascent Llc Maryland Heights MO 02/2015 09/2016
  • 08/2023 → Present
    O'FAllon, IL
  • 07/2020 → 06/2023
    Divorce Dollars And Sense
    Swansea, IL
  • 03/2020 → 07/2020
    Greensfelder, Hemker, & Gale Pc
    St. Louis, MO
  • 10/2019 → 03/2020
    Mgm Law Firm
    Ofallon, IL
  • 11/2015 → 10/2019
    Charming Charlie
    Fairview Heights, IL
  • 08/2017 → 08/2018
    Paszkiewicz Court Reporting
    Maryville, IL
  • 09/2016 → 08/2017
    Quest Records Llc
    Swansea, IL
  • 02/2015 → 09/2016
    Ascent Llc
    Maryland Heights, MO
Other Businesses

1) 08/24/2023 - Investment Related - Notary - At Reported Business Location(s) - Start Date:06/13/2023 - 0 Hrs/Mth - 0 Hrs During Trading. 2) 08/24/2023 - Resource One Advisors, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date:06/20/2023 - 0 Hrs/Mth - 0 Hrs During Trading. 3) 08/01/2025 - Gateway Financial Resources - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:07/31/2025 - 0 Hrs/Mth - 0 Hrs During Trading. 4) 12/22/2025 - Haven by Clark - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) -Start Date 12/10/2025 - 20 hours per month

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-03-08
  • S66 Uniform Combined State Law Examination
    2024-03-08
Other Names
  • Katherine Nicole Helmes
  • Katherine Nicole Sanders
  • Niki Sanders

View on SEC IAPD

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