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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-07-30
ND RA APPROVED 2019-05-23
  • TX RA
    APPROVED_RES
    Since 2019-07-30
  • ND RA
    APPROVED
    Since 2019-05-23

Branch Locations

3050 Sienna Dr S Ste 100, Fargo, ND 58104 • United States

4133 30Th Ave S Ste 105, Fargo, ND 58104 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Self Employed Scottsdale AZ 01/2003 10/2018
Choice Financial Fargo ND 11/2018 Present
Lpl Financial Llc Fargo ND 12/2018 Present
Ica Group Wealth Management, Llc Fargo ND 11/2021 Present
  • 01/2003 → 10/2018
    Self Employed
    Scottsdale, AZ
  • 11/2018 → Present
    Choice Financial
    Fargo, ND
  • 12/2018 → Present
    Fargo, ND
  • 11/2021 → Present
    Ica Group Wealth Management, Llc
    Fargo, ND
Previous Registrations
  • 2021-12-13 → 2023-06-27
    Ica Group Wealth Management, Llc
    Fargo, ND
    Denver, CO
Other Businesses

1)12/06/2018 - Choice Financial Wealth Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 11/2018 2)12/07/2018 - Choice Financial - Financial Institution Duty - inv rel - at reported business location(s) - start: 11/2018 - 100 hr/mth 3. 08/09/2019 - Choice Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/09/2019 - 20 Hours Per Month/20 Hours During Securities Trading. 4. 12/23/2021 - ICA Group Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 12/07/2021 - 180 Hours Per Month/180 Hours During Securities Trading - I provide investment advisory services through ICA Group Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 12/2021. I expect to spend approximately 180 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 08/03/2022 -TJB Properties LLC- Not Investment Related- At Reported Business Location(s)- Business Entity For Tax/Investment Purposes Only- Partner- Start Date- 07/03/2022- 0 Hours Per Month/ 0 Hours During Securities Trading 6.8/04/2022- GPFG LLC- Investment Related- At Reported Business Location(s)- Business Entity For Tax/Investment Purposes Only- Partner- Start Date- 06/29/2022- 0 Hours Per Month/ 0 Hours During Securities Trading 7. 12/02/2022 - Halstenson & Askew Investments - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 06/17/2022 - 160 Hours Per Month/8 Hours During Securities Trading 8. 04/26/2023 - Halstenson Askew Wealth Advisors - Investment Related - Fargo, ND - DBA for LPL Business (entity for LPL business) - Start Date 07/01/2023 - 160 Hours Per Month/8 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-02-28
  • S66 Uniform Combined State Law Examination
    2019-02-28

View on SEC IAPD

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