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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2016-08-31
  • PA RA
    APPROVED
    Since 2016-08-31

Branch Locations

216 Franklin St., Johnstown, PA 15901 • United States

60 Blvd Of The Allies Ste 100, Pittsburgh, PA 15222 • United States

1404 Eisenhower Blvd, Johnstown, PA 15904 • 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
Lpl Financial Llc Johnstown PA 08/2016 Present
Ameriserv Fianancial Bank Johnstown PA 08/2016 Present
  • 08/2016 → Present
    Johnstown, PA
  • 08/2016 → Present
    Ameriserv Fianancial Bank
    Johnstown, PA
Previous Registrations
  • 2007-09-18 → 2016-09-02
    Msi Financial Services, Inc.
    Johnstown, PA
    Johnstown, PA
    Johnstown, PA
    Pittsburgh, PA
Other Businesses

1) 08/31/2016: Premier Brokerage Group - Non-Variable Insurance - Investment Related - 604 Harper Ave Jenkintown , PA 19046 - Start 09/01/2016 - 1 Hr/Mo; 0 Hour(s) During Securities Trading; 1% Time Spent - Agent 2) 09/16/2016: AmeriServ Financial Services - DBA for LPL Business (entity for LPL business) - Investment Related - 216 Franklin Street, Johnstown PA 15901 - Start 09/01/2016 - No Time Spent - This is the bank DBA for financial services activities. 3) 1/23/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start 01/23/2017 - 8 Hours Per Month/2 Hours During Securities Trading - Fixed insurance. 4) 1/25/2017 - Highland Capital - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/20/2017 - 6 Hours Per Month/1 Hour During Securities Trading. 5) 3/24/2017 - National Guardian Life - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/23/2017 - 4 Hours Per Month/1 Hour During Securities Trading - Fixed insurance. 6) 2/21/2019 - AmeriServ Trust and Financial Services Company - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 01/02/2019 - 4 Hours Per Month/4 Hours During Securities Trading - Refer Business. 7) 2/21/2019 - West Chester Capital (wholly owned subsidiary of AmeriServ Financial) - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 01/02/2019 - 2 Hours Per Month/2 Hours During Securities Trading - Refer Business. 8) 11/22/2021 - American Insurance Marketing - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 01/23/2017 - 8 Hours Per Month/2 Hours During Securities Trading. 9) 12/3/2021 - Prior Employer - Investment Related - 504 Schoolhouse Rd, Johnstown Pa 15904 - Non-Variable Insurance - Agent - Started 09/01/2016 - 8 Hours Per Month During Securities Trading - Metlife.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-12-09
  • S63 Uniform Securities Agent State Law Examination
    1991-12-09

View on SEC IAPD

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