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Mark Pingul

LPl Financial LLC

Brookfield, WI

Plainfield, IL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2026-02-24
TX RA APPROVED 2021-03-25
IL RA APPROVED 2021-03-24
  • WI RA
    APPROVED
    Since 2026-02-24
  • TX RA
    APPROVED
    Since 2021-03-25
  • IL RA
    APPROVED
    Since 2021-03-24

Branch Locations

395 N Executive Dr, Brookfield, WI 53005 • United States

Plainfield, IL • 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
Edward Jones St Louis MO 06/2018 03/2020
New Orleans Military And Maritime Academy New Orleans LA 07/2016 06/2018
Bmo Harris Financial Advisors Naperville IL 03/2020 Present
Lpl Financial Llc Naperville IL 03/2021 Present
  • 06/2018 → 03/2020
    Edward Jones
    St Louis, MO
  • 07/2016 → 06/2018
    New Orleans Military And Maritime Academy
    New Orleans, LA
  • 03/2020 → Present
    Bmo Harris Financial Advisors
    Naperville, IL
  • 03/2021 → Present
    Lpl Financial Llc
    Naperville, IL
Previous Registrations
  • 2020-03-30 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Chicago, IL
    Naperville, IL
  • 2018-08-17 → 2020-04-02
    Edward Jones
    Romeoville, IL
    St Louis, MO
    Naperville, IL
    Romeoville, IL
Other Businesses

1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - NAPERVILLE, IL

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-16
  • S66 Uniform Combined State Law Examination
    2018-08-16
Other Names
  • Mark Ross Pingul

View on SEC IAPD

Other Firms

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RBC CAPITAL MARKETS, LLC
MARINER
M HOLDINGS SECURITIES, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
AMERIPRISE FINANCIAL SERVICES, LLC
ENTASIS ASSET MANAGEMENT LLC
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Other Investors

DEANNE E PHILLIPS
MATTHEW ROSS KRENKE
Eric Gustav Strom
Thomas James Berkholtz
Heather Christine Shutta
Jeffrey Lynn Stanich
Clayton Joel Beilfuss
Logan Alexander Kepler

Other Offices

ANNEX WEALTH MANAGEMENT, LLC · BROOKFIELD, WI
RBC CAPITAL MARKETS, LLC · BROOKFIELD, WI
MARINER · BROOKFIELD, WI
M HOLDINGS SECURITIES, INC. · Brookfield, WI
STATE FARM INVESTMENT MANAGEMENT CORP. · Brookfield, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Brookfield, WI
ENTASIS ASSET MANAGEMENT LLC · Brookfield, WI
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · BROOKFIELD, WI

More in Brookfield, WI

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