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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2024-01-10
TX RA APPROVED_RES 2024-01-09
  • MI RA
    APPROVED
    Since 2024-01-10
  • TX RA
    APPROVED_RES
    Since 2024-01-09

Branch Locations

3883 Telegraph Rd, Ste 204, Bloomfield Hills, MI 48302 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
National Planning Corporation Bloomfield Hills MI 01/2004 10/2017
Cambridge Investment Research, Inc. Fairfield IA 10/2017 01/2024
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2017 01/2024
Lpl Financial Llc Bloomfield Hills MI 01/2024 Present
Previous Registrations
Other Businesses

1) 12/2023 -White Glove - Business Owner - Non-inv. Related - BIRMINGHAM, MI - Owner - Start Date 10/01/2019 - 40hrs/month - 20% time spent 2) 12/2023 - INVESTWISE FINANCIAL LLC - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 120hrs/month - 1% time spent 3) 12/2023 - SS 567 UNIVERSITY LLC - Business Entity For Tax/Investment Purposes Only - Non-inv. Related - BIRMINGHAM, Ml - Owner - Start Date 10/01/2019 - 40hrs/month - 20% time spent 4) 12/2023 - DMJ ENTERPRISES LLC - Business Entity For Tax/Investment Purposes Only - Non-inv. Related - BLOOMFIELD HILLS, Ml - Owner - Start Date 10/01/2019 - 2hrs/month - 0% time spent 5) 12/2023 - INDEPENDENT INSURANCE AGENT - Non-Variable Insurance - Inv. Related - BLOOMFIELD HILLS, Ml - Agent Selling Insurance- Start Date 03/01/2018 - 1hr/month - 1% time spent 6) 01/05/2026 - THurmpire, LLC - Real Estate Rental - Owner - Investment Related - Birmingham , MI - Start Date 12/30/2025 - 2 hours per month/ during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-02-18
S65 Uniform Investment Adviser Law Examination 1998-07-30
S63 Uniform Securities Agent State Law Examination 1990-04-03
  • S66 Uniform Combined State Law Examination
    2011-02-18
  • S65 Uniform Investment Adviser Law Examination
    1998-07-30
  • S63 Uniform Securities Agent State Law Examination
    1990-04-03
Other Names
  • Dean Winfred Thurman
  • Dean Winfred Thurman

View on SEC IAPD

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