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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2021-09-10
  • KS RA
    APPROVED
    Since 2021-09-10

Branch Locations

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

Lees Summit, MO • 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
Highpointe Financial Group Overland Park KS 03/2017 05/2017
Mml Investors Services Overland Park KS 05/2017 05/2017
Student Kansas City MO 12/2015 03/2017
Wells Fargo Clearing Services Llc Overland Park KS 12/2017 12/2019
Unemployed Lee's Summit MO 05/2017 12/2017
Waddell & Reed, Inc Shawnee Mission KS 01/2020 09/2021
Family Farm Princeton MO 01/2008 Present
Lpl Financial, Llc Overland Park KS 05/2021 Present
  • 03/2017 → 05/2017
    Highpointe Financial Group
    Overland Park, KS
  • 05/2017 → 05/2017
    Mml Investors Services
    Overland Park, KS
  • 12/2015 → 03/2017
    Student
    Kansas City, MO
  • 12/2017 → 12/2019
    Overland Park, KS
  • 05/2017 → 12/2017
    Unemployed
    Lee's Summit, MO
  • 01/2020 → 09/2021
    Waddell & Reed, Inc
    Shawnee Mission, KS
  • 01/2008 → Present
    Family Farm
    Princeton, MO
  • 05/2021 → Present
    Overland Park, KS
Previous Registrations
  • 2020-01-16 → 2021-09-15
    Waddell & Reed
    Overland Park, KS
    Overland Park, KS
  • 2018-01-03 → 2019-12-02
    Overland Park, KS
  • 2013-08-13 → 2016-01-04
    Vsr Financial Services, Inc.
    Overland Park, KS
  • 2012-05-15 → 2013-08-05
    Vsr Financial Services, Inc.
    Overland Park, KS
    Overland Park, KS
    Overland Park, KS
Other Businesses

1. 12/26/2021 - No Business Name - Investment Related - Mercer County Missouri - Real Estate Rental - Started 03/14/2009 - 1 Hour Per Month/0 Hours During Securities Trading - The property is a 391 acre farm in Mercer County Missouri, there are no buildings on the land. It is rented out to raise crops. No street address. 2. 03/11/2022 - No Business Name - Investment Related - Mercer County Missouri - Real Estate Rental - Start Date - 04/24/2008 - 0 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-05-14
S63 Uniform Securities Agent State Law Examination 1994-12-21
  • S66 Uniform Combined State Law Examination
    2012-05-14
  • S63 Uniform Securities Agent State Law Examination
    1994-12-21
Other Names
  • James Lee Crouse
  • J. Robert Quint
  • J R Quint

View on SEC IAPD

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