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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 2025-02-11
ND RA APPROVED 2025-01-01
  • TX RA
    APPROVED_RES
    Since 2025-02-11
  • ND RA
    APPROVED
    Since 2025-01-01

Branch Locations

120 N 3Rd St., Bismarck, ND 58501 • United States

3409 45Th St S #104, Fargo, ND 58104 • 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
Woodbury Financial Services, Inc Woodbury MN 06/2010 12/2019
Lpl Financial Llc Fargo ND 12/2019 Present
  • 06/2010 → 12/2019
    Woodbury Financial Services, Inc
    Woodbury, MN
  • 12/2019 → Present
    Fargo, ND
Previous Registrations
  • 2010-06-21 → 2019-12-11
    Woodbury Financial Services, Inc.
    Fargo, ND
    Oakdale, MN
    Fargo, ND
    Bismarck, ND
    Bismarck, ND
  • 2008-08-25 → 2010-06-15
    Fargo, ND
  • 1995-09-11 → 2008-09-04
    Fargo, ND
    Fargo, ND
Other Businesses

1)04/2010 - DBA for LPL Business (entity for LPL business) - Legacy Wealth Management - 100% - INVESTMENT RELATED - FARGO, ND 58103 2)06/2004 - Business Owner - D.R.O. PRODUCTIONS INC - 0% - NOT INVESTMENT RELATED - FARGO, ND 58103

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-07-06
S63 Uniform Securities Agent State Law Examination 1991-08-21
  • S65 Uniform Investment Adviser Law Examination
    1995-07-06
  • S63 Uniform Securities Agent State Law Examination
    1991-08-21

View on SEC IAPD

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