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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2024-04-15
  • MN RA
    APPROVED
    Since 2024-04-15

Branch Locations

309 1St Street Ne, Ste 102, Little Falls, MN 56345 • 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
Crow Wing County Brainerd MN 01/2011 03/2019
Thrivent Investment Management Inc Little Falls MN 11/2018 08/2022
Thrivent Financial Appleton WI 03/2019 05/2019
Thrivent Financial Appleton WI 05/2019 08/2022
Osaic Wealth, Inc. Little Falls MN 08/2022 04/2024
Focus Financial Network Inc. Little Falls MN 08/2022 04/2024
Lpl Financial Llc Little Falls MN 04/2024 Present
  • 01/2011 → 03/2019
    Crow Wing County
    Brainerd, MN
  • 11/2018 → 08/2022
    Thrivent Investment Management Inc
    Little Falls, MN
  • 03/2019 → 05/2019
    Thrivent Financial
    Appleton, WI
  • 05/2019 → 08/2022
    Thrivent Financial
    Appleton, WI
  • 08/2022 → 04/2024
    Osaic Wealth, Inc.
    Little Falls, MN
  • 08/2022 → 04/2024
    Focus Financial Network Inc.
    Little Falls, MN
  • 04/2024 → Present
    Little Falls, MN
Previous Registrations
  • 2023-03-02 → 2024-05-02
    Little Falls, MN
    Minneapolis, MN
Other Businesses

1) 04/15/2024 - Junior Achievement - Outside/W-2 Employment - Volunteer teacher - Pierz, MN - Noninvestment related - 1 Hour per month - Start date: 09/06/2021. 2) 04/15/2024 - Wochnick Financial Services - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - Start Date 04/15/2024 - 160 Hours per month/ during trading 3) 04/15/2024 - Kapus Excavating - Business Owner - Home Based - Investment related - 15 Hours per month - Start date: 01/01/2021. 4) 06/04/2025 - Wochnick Tax Services LLC - Inv. Related - Tax Prep/Accounting/CPA - At reported business location(s) - Start date:05/27/2025 - 20 Hrs/Mth - 2 Hrs During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-02-16
S63 Uniform Securities Agent State Law Examination 2019-03-04
  • S65 Uniform Investment Adviser Law Examination
    2023-02-16
  • S63 Uniform Securities Agent State Law Examination
    2019-03-04
Other Names
  • Alicia Riley
  • Alicia Pearce

View on SEC IAPD

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