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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-04 |
| IL | RA | APPROVED | 2025-01-23 |
Branch Locations
675 N. O'PLaine Road, Gurnee, IL 60031 • United States
50 Commerce Drive, Grayslake, IL 60030 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wayne Hummer Investments | Chicago | IL | 11/2005 | 01/2025 |
| Lpl Financial Llc | Gurnee | IL | 01/2025 | Present |
1. 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 11/14/2005- 200 Hours Per Month- 140 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-19 |
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