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Frederick Oh

LPl Financial LLC

Chicago, IL

Naperville, IL

Downers Grove, IL

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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 2025-02-04
IL RA APPROVED 2025-01-23
  • TX RA
    APPROVED_RES
    Since 2025-02-04
  • IL RA
    APPROVED
    Since 2025-01-23

Branch Locations

231 S La Salle St # 13 13Th Floor, Chicago, IL 60604 • United States

5 S Washington St, Naperville, IL 60540 • United States

1111 Warren Ave, Downers Grove, IL 60515 • 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
Bp Plc Naperville IL 06/2010 06/2019
Wintrust Investments Llc Chicago IL 08/2019 01/2025
Lpl Financial Llc Naperville IL 01/2025 Present
  • 06/2010 → 06/2019
    Bp Plc
    Naperville, IL
  • 08/2019 → 01/2025
    Wintrust Investments Llc
    Chicago, IL
  • 01/2025 → Present
    Lpl Financial Llc
    Naperville, IL
Previous Registrations
  • 2019-12-04 → 2025-01-23
    Wintrust Investments Llc
    Chicago, IL
    Naperville, IL
    Naperville, IL
    Downers Grove, IL
Other Businesses

1. 01/2025- WINTRUST INVESTMENTS-- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 176 Hours Per Month-143 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-04
  • S66 Uniform Combined State Law Examination
    2019-12-04

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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