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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2019-12-04
TX RA APPROVED 2019-12-04
  • MI RA
    APPROVED
    Since 2019-12-04
  • TX RA
    APPROVED
    Since 2019-12-04

Branch Locations

2701 Cambridge Ct Ste 530, Auburn Hills, MI 48326 • United States

Davisburg, MI • 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
Centaurus Financial, Inc. Orange CA 03/2005 12/2019
Lpl Financial, Llc Auburn Hills MI 12/2019 Present
Previous Registrations
Other Businesses

1. 12/04/2019 - HFG/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 90%/ AUBURN HILLS, MI 2. 12/04/2019 - HERBERT FINANCIAL GROUP LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 90%/ AUBURN HILLS, MI 3. 12/27/2024- Ruah Financial- Business Entity For Tax/Investment Purposes Only- Not INV Related- At Auburn Hills, MI- Start date 160 Hours Per Month- 160 Hours During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-22
  • S66 Uniform Combined State Law Examination
    2005-07-22
Designations

View on SEC IAPD

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