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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2026-06-23 |
Branch Locations
402 E Wisconsin Ave, Appleton, WI 54914 • United States
643 S Green Bay Rd, Neenah, WI 54956 • United States
2100 Omro Road, Oshkosh, WI 54904 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bmo Harris Bank | Appleton | WI | 02/2017 | 09/2018 |
| The Limited | Appleton | WI | 11/1994 | 01/2017 |
| Bmo Bank Na | Appleton | WI | 09/2018 | Present |
| Lpl Financial Llc | Appleton | WI | 03/2021 | Present |
1) 03/24/2021 - DBA For LPL Business (entity for LPL Business) - BMO Investment Services - Investment Related - Appleton, WI 2) 09/01/2018 - Financial Institution Duty - BMO Bank NA - 160 Hours - Investment Related - Appleton, WI 3) 03/01/2017 - Other-Notary - BMO Harris Bank - 160 Hours - Investment Related - Appleton, WI 4) 04/01/2019 - Non-Profit Board Member - Appleton United Hockey Association - 5-10 Hours - Investment Related - Appleton, WI
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 2018-11-26 |
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