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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2020-10-07
TX RA APPROVED 2020-10-07
  • OH RA
    APPROVED
    Since 2020-10-07
  • TX RA
    APPROVED
    Since 2020-10-07

Branch Locations

56 Dorchester Square N #100, Westerville, OH 43081 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Abbott Financial Services Delaware OH 08/2009 Present
Securities Service Network Inc. Westerville OH 08/2016 10/2020
Securities America, Inc. Westerville OH 09/2020 10/2020
Securities America Advisors, Inc. La Vista NE 09/2020 10/2020
Lpl Financial Llc Westerville OH 10/2020 Present
  • 08/2009 → Present
    Abbott Financial Services
    Delaware, OH
  • 08/2016 → 10/2020
    Securities Service Network Inc.
    Westerville, OH
  • 09/2020 → 10/2020
    Securities America, Inc.
    Westerville, OH
  • 09/2020 → 10/2020
    Securities America Advisors, Inc.
    La Vista, NE
  • 10/2020 → Present
    Westerville, OH
Previous Registrations
  • 2020-09-18 → 2020-10-09
    Securities America Advisors, Inc.
    La Vista, NE
  • 2016-08-30 → 2020-09-18
    Ssn Advisory, Inc.
    Westerville, OH
  • 2006-06-30 → 2016-09-23
    Ameritas Investment Company, Llc
    North Haven, CT
    Guilford, CT
    Lincoln, NE
    Westerville, OH
  • 2002-08-26 → 2006-06-30
    Carillon Investments, Inc.
    Guilford, CT
    Guilford, CT
    North Haven, CT
  • 1997-06-23 → 2002-07-17
    Msi Financial Services, Inc.
    New London, CT
Other Businesses

1)09/08/2020 - RETIREMENT PLANNING PARTNERS, LLC. - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 02/2008 2)09/08/2020 - RETIREMENT PLANNING PARTNERS, LLC. - Insurance Agency - inv rel - North Haven, CT, start: 02/2008 - 16 hr/mth 3)ABBOTT FINANCIAL SERVICES, LLC. - Non-Variable Insurance - inv rel - Galena, OH - start: 09/2009 - 8 hr/mth 4)09/08/2020 - ABBOTT FINANCIAL SERVICES, LLC. - ABBOTT FINANCIAL SERVICES, LLC. - inv rel - Galena, OH - start: 09/2009 - 48 hr/mth 5)09/08/2020 - RETIREMENT PLANNING PARTNERS PROPERTY LLC. - Business Entity For Tax/Investment Purposes Only - inv rel - at reported business location(s) - start: 08/2007 - 1 hr/mth 6)09/08/2020 - ABBOTT FINANCIAL SERVICES, LLC. - Business Entity For Tax/Investment Purposes Only - inv rel - Galena, OH - start: 09/2009 - 16 hr/mth

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-03-25
S63 Uniform Securities Agent State Law Examination 1994-04-04
  • S65 Uniform Investment Adviser Law Examination
    1997-03-25
  • S63 Uniform Securities Agent State Law Examination
    1994-04-04
Designations

View on SEC IAPD

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