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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2023-06-27
  • MI RA
    APPROVED
    Since 2023-06-27

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

4000 S Sprinkle Road, Kalamazoo, MI 49001 • United States

4000 S Srpinkle Road, Kalamazoo, MI 49001 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Falcon Broadband, Llc Colorado Springs CO 11/2017 07/2018
Plains Cooperative Telephone Assn Joes CO 05/2012 10/2017
Cetera Advisors Denver CO 08/2018 06/2022
Plan 4 Financial Design Kalamazoo MI 07/2018 06/2023
Sigma Financial Corporation Ann Arbor MI 06/2022 06/2023
Lpl Financial Llc Kalamazoo MI 06/2023 Present
  • 11/2017 → 07/2018
    Falcon Broadband, Llc
    Colorado Springs, CO
  • 05/2012 → 10/2017
    Plains Cooperative Telephone Assn
    Joes, CO
  • 08/2018 → 06/2022
    Cetera Advisors
    Denver, CO
  • 07/2018 → 06/2023
    Plan 4 Financial Design
    Kalamazoo, MI
  • 06/2022 → 06/2023
    Sigma Financial Corporation
    Ann Arbor, MI
  • 06/2023 → Present
    Kalamazoo, MI
Previous Registrations
  • 2022-06-16 → 2023-06-23
    Kalamazoo, MI
    Ann Arbor, MI
    Grand Rapids, MI
  • 2018-12-21 → 2022-06-17
    Cetera Advisors Llc
    Kalamazoo, MI
Other Businesses

1. 06/23/2023 - Wealth Preservation Center, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 7/2/2018 - Time Spent 5% 2. 07/17/2023 - Plan 4 Financial Design, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 7/2/2018 - 5 Hours Per Month/ 2 Hours During Trading - Time Spent 3% 3. 07/17/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date 7/2/2018 - 8 Hours Per Month/ 2 Hours During Trading - Time Spent 3%

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-11-16
S63 Uniform Securities Agent State Law Examination 2018-09-26
  • S65 Uniform Investment Adviser Law Examination
    2018-11-16
  • S63 Uniform Securities Agent State Law Examination
    2018-09-26
Other Names
  • Nicole Lynn Starbuck
  • Nicole Lynn Starbuck-Schnelle
  • Nicole Starbuck

View on SEC IAPD

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