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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2003-07-14
  • OH RA
    APPROVED
    Since 2003-07-14

Branch Locations

Cincinnati, OH • 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 (Formerly: Linsco/Private Ledger Corp.) Cincinnati OH 07/2003 Present
  • 07/2003 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
    Cincinnati, OH
Previous Registrations
Other Businesses

1. 07/11/2003 - LATROBE FINANCIAL MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 3/13/2020 - American Red Cross - Not Investment Related - Cincinnati, OH - Outside/W-2 Employment - Started 03/06/2020 - 10 Hours Per Month/2 Hours During Securities Trading - Instructor and Instructor Volunteer. 3. 02/23/2026 - American Heart Association (AHA) First Aid CPR-AED Training - Outside/W-2 Employment - Not Investment Related - Cincinnati, OH- Start Date 02/23/2026 - 20 hours per month/ 10 hours during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-05-06
S63 Uniform Securities Agent State Law Examination 1994-04-15
  • S65 Uniform Investment Adviser Law Examination
    1994-05-06
  • S63 Uniform Securities Agent State Law Examination
    1994-04-15

View on SEC IAPD

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