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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2018-10-29
  • MO RA
    APPROVED
    Since 2018-10-29

Branch Locations

9527 Engel Lane, St Louis, MO 63132 • 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
Cetera Financial Specialists Llc St. Louis MO 09/1998 10/2018
Benjamin An Co. P.C. St. Louis MO 01/1999 Present
Cetera Investment Advisers Llc Schaumburg IL 05/1999 10/2018
Lpl Financial, Llc St Louis MO 10/2018 Present
  • 09/1998 → 10/2018
    Cetera Financial Specialists Llc
    St. Louis, MO
  • 01/1999 → Present
    Benjamin An Co. P.C.
    St. Louis, MO
  • 05/1999 → 10/2018
    Schaumburg, IL
  • 10/2018 → Present
    St Louis, MO
Previous Registrations
Other Businesses

1. 10/29/2019 - An Financial Service - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/1999 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 100%. 2. 10/29/2019 - Benjamin An & Co PC - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Started 1993 - 70 Hours Per Month/3 Hours During Securities Trading - Time Spent 30% - Prepare financial statements and tax returns businesses. Prepare annual income tax income tax returns for individuals/families. 3. 10/29/2019 - No Business Name - Investment Related - 950 Rue De La Banque , # 312, St Louis MO 63141 - Real Estate Rental - Owner - Started 01/01/2012. 4. 2/5/2019 - CT Solution - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/02/2018 - 1 Hour Per Month During Securities Trading - Send them health ins. Referrals.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-17
S63 Uniform Securities Agent State Law Examination 1998-12-05
  • S65 Uniform Investment Adviser Law Examination
    1999-11-17
  • S63 Uniform Securities Agent State Law Examination
    1998-12-05
Other Names
  • Bin An
  • Bin An

View on SEC IAPD

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