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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2021-11-22
TX RA APPROVED 2021-11-22
  • MO RA
    APPROVED
    Since 2021-11-22
  • TX RA
    APPROVED
    Since 2021-11-22

Branch Locations

13358 Manchester Rd Ste 200, Des Peres, MO 63131 • United States

Wentzville, MO • 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
Metlife Securities Inc. St Louis MO 01/1993 03/2017
Massmutual Life Insurance Co Chesterfield MO 07/2016 11/2021
Mml Investors Services, Llc Chesterfield MO 03/2017 11/2021
Lpl Financial, Llc Des Peres MO 11/2021 Present
  • 01/1993 → 03/2017
    Metlife Securities Inc.
    St Louis, MO
  • 07/2016 → 11/2021
    Massmutual Life Insurance Co
    Chesterfield, MO
  • 03/2017 → 11/2021
    Chesterfield, MO
  • 11/2021 → Present
    Des Peres, MO
Previous Registrations
  • 2017-03-25 → 2021-11-23
    St. Louis, MO
    Chesterfield, MO
  • 1998-11-05 → 2017-03-25
    Msi Financial Services, Inc.
    St. Louis, MO
    Chesterfield, MO
Other Businesses

1) 11/2021 - DBA for LPL Business (entity for LPL business) - Cornerstone Wealth Services - Investment Related - Des Peres, MO 63131 2) 11/2021 - DBA for LPL Business (entity for LPL business) - The PlaniFy Group - Investment Related - Des Peres, MO 63131 3) 6/2016 - Non-Variable Insurance - James Gentry - Investment Related - Des Peres, MO 63131 4) 2/14/2023 - Cornerstone Wealth Portfolios - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 2/1/2023 5) 12/14/2023 - Simplicity Group - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Advisor - Started: 1/8/2024 - 4 Hrs/Mo During Trading. 6) 05/17/2024 - Echo Creek - Inv Related - Wentzville, MO - Real Estate Rental - 25% owner in the food and beverage piece of an event center - Started: 3/1/2024 - 4 Hrs/Mo; 0 Hr During Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-04-21
  • S63 Uniform Securities Agent State Law Examination
    1993-04-21
Designations

View on SEC IAPD

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