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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 2024-11-27
WI RA APPROVED 1996-08-02
  • TX RA
    APPROVED_RES
    Since 2024-11-27
  • WI RA
    APPROVED
    Since 1996-08-02

Branch Locations

1100 Springdale St, Mount Horeb, WI 53572 • United States

112 Mound Ave Mound City Bank, Belmont, WI 53510 • United States

117 W Webster St Mound City Bank, Cuba City, WI 53807 • United States

25 East Pine Street, Platteville, WI 53818 • 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
Linsco/Private Ledger Corp. Platterville WI 08/1996 Present
  • 08/1996 → Present
    Linsco/Private Ledger Corp.
    Platterville, WI
Other Businesses

1. 06/26/08 - DBA ONLY MOUND CITY INVESTMENT SERVICES.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-08-17
  • S63 Uniform Securities Agent State Law Examination
    1990-08-17

View on SEC IAPD

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