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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2023-12-14 |
Branch Locations
325 N. Corporate Dr. #100, Brookfield, WI 53045 • United States
920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2022-06-23 |
Branch Locations
920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States
325 N Corporate Drive #120, Brookfield, WI 53045 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities | Brookfield | WI | 01/2012 | 03/2017 |
| Massachusetts Mutual Life Insurance Company | Springfield | MA | 07/2016 | 12/2017 |
| Mml Investors Services, Llc | Milwaukee | WI | 03/2017 | 12/2017 |
| Lpl Financial Llc | Franklin | WI | 12/2017 | Present |
| Pyramax Bank | Franklin | WI | 12/2017 | 06/2022 |
1)12/15/17- Real Estate Rental- Owner- Inv. Related- Shorewood, WI-3% 2) 09/26/2019 - No business name - Investment related - At reported business location(s) - Non-Variable Insurance - start date:12/11/2017 - 1 hr/mo - 0 hrs during trading. 3) 06/08/2022 - Great Valley Advisor Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 05/13/2022 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Great Valley Advisor Group, Inc., an independent investment advisor firm. I started this business activity in 6/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial. 4) 06/09/2022 - Next Level Planning & Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 05/26/2022 - 160 Hours Per Month/ 8 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-08-14 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-22 |
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