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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-08-26
KS RA APPROVED 2021-08-10
  • TX RA
    APPROVED
    Since 2024-08-26
  • KS RA
    APPROVED
    Since 2021-08-10

Branch Locations

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

Overland Park, KS • United States

5440 W. 110Th St Ste 300, Overland Park, KS 66211 • United States

Embark Financial Partners

380 W Western Avenue Suite 250, Muskegon, MI 49440 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2022-08-26
  • MI RA
    APPROVED
    Since 2022-08-26

Branch Locations

Olathe, KS • United States

380 W Western Avenue Suite 250, Muskegon, MI 49440 • United States

5440 W 110Th St Suite 300, Leawood, KS 66047 • 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
Waddell & Reed, Inc Shawnee Mission KS 08/2018 07/2021
Southwest Baptist Univeristy Athletics Bolivar MO 11/2017 05/2018
Unemployed Lees Summit MO 06/2018 07/2018
Southwest Baptist University Bolivar MO 08/2016 05/2018
Lpl Financial Muskegon MI 07/2021 08/2021
Lpl Financial Llc Overland Park KS 08/2021 Present
Bcs Partners Llc Dba Embark Financial Partners Muskegon MI 08/2022 Present
Bcs Partners Llc Insurance Agency Muskegon MI 01/2023 Present
  • 08/2018 → 07/2021
    Waddell & Reed, Inc
    Shawnee Mission, KS
  • 11/2017 → 05/2018
    Southwest Baptist Univeristy Athletics
    Bolivar, MO
  • 06/2018 → 07/2018
    Unemployed
    Lees Summit, MO
  • 08/2016 → 05/2018
    Southwest Baptist University
    Bolivar, MO
  • 07/2021 → 08/2021
    Lpl Financial
    Muskegon, MI
  • 08/2021 → Present
    Overland Park, KS
  • 08/2022 → Present
    Bcs Partners Llc Dba Embark Financial Partners
    Muskegon, MI
  • 01/2023 → Present
    Bcs Partners Llc Insurance Agency
    Muskegon, MI
Previous Registrations
  • 2020-08-07 → 2021-07-26
    Waddell & Reed
    Overland Park, KS
    Overland Park, KS
Other Businesses

1) 8/2021- Embark Financial Partners- DBA for LPL Business (entity for LPL business)- inv. related- Overland Park, KS 2) 1/2023 - Embark Financial Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 01/2023 - 10 Hours Per Month.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-07
  • S66 Uniform Combined State Law Examination
    2020-08-07
Designations
  • Certified Financial Planner

View on SEC IAPD

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