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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 2026-08-10
IA RA APPROVED 2026-08-04
  • TX RA
    APPROVED_RES
    Since 2026-08-10
  • IA RA
    APPROVED
    Since 2026-08-04

Branch Locations

816 Tower Park Drive, Waterloo, IA 50701 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

816 Tower Park Drive, Waterloo, IA 50701 • 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
Cetera Advisors Llc Denver CO 01/2013 08/2026
Fra Tower Park, Llc Waterloo IA 12/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 08/2026
Lpl Financial, Llc Waterloo IA 08/2026 Present
Previous Registrations
Other Businesses

1. 07/2026 - JJB Properties LLC - Real Estate Rental - Inv Related – 1 Hour(s)/Month – 0 Hour(s) During Trading – Waterloo IA 50701 – OBA Start Date: 01/01/2001 2. 07/2026 - Financial Resource Advisors - DBA for LPL Business (entity for LPL business) - Inv Related – 160 Hour(s)/Month – 130 Hour(s) During Trading – At Reported business location(s) – OBA Start Date: 8/4/2026 3. 07/2026 - FRA Financial Inc - Business Entity For Tax/Investment Purposes Only - Not Inv Related – 8 Hour(s)/Month – 8 Hour(s) During Trading – Waterloo IA 50701 – OBA Start Date: 01/01/2016 4. 07/2026 - Integrated Accounting Solutions - Tax Prep/Accounting/CPA - Inv Related – 10 Hour(s)/Month – 10 Hour(s) During Trading – Waterloo IA 50701 – OBA Start Date: 01/01/2018 5. 07/2026 - FRA Tower Park LLC - Business Entity For Tax/Investment Purposes Only - Not Inv Related – 0 Hour(s)/Month – 0 Hour(s) During Trading – Waterloo IA 50701 – OBA Start Date: 12/01/2021

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-03-30
S63 Uniform Securities Agent State Law Examination 1992-11-16
  • S66 Uniform Combined State Law Examination
    2001-03-30
  • S63 Uniform Securities Agent State Law Examination
    1992-11-16

View on SEC IAPD

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