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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 2020-02-04
MO RA APPROVED 2017-11-29
  • TX RA
    APPROVED_RES
    Since 2020-02-04
  • MO RA
    APPROVED
    Since 2017-11-29

Branch Locations

3451 St Albans Road Suite C, Saint Albans, MO 63073 • United States

Bonne Terre, MO • United States

Farmington, 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
National Planning Corporation Bonne Terre MO 10/2007 11/2017
Lpl Financial Llc Bonne Terre MO 11/2017 Present
  • 10/2007 → 11/2017
    National Planning Corporation
    Bonne Terre, MO
  • 11/2017 → Present
    Bonne Terre, MO
Previous Registrations
  • 2007-10-31 → 2017-12-06
    National Planning Corporation
    Bonne Terre, MO
    St. Albans Rd, MO
    Bonne Terre, MO
    Los Angeles, CA
  • 2004-04-06 → 2007-11-06
    American General Securities Incorporated
    Festus, MO
    Bonne Terre, MO
    Festus, MO
Other Businesses

1. 11/29/2017 - K&J Investment Properties - Not Investment Related - Farmington, MO - Real Estate Rental - Start Date 1997 - 2 Hours Per Month - Bookkeeping. 2. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Paid at the agent level. 3. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Agent for Pacific Life. 4. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 2 Hours Per Month During Securities Trading - Agent for Alliance Life. 5. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Acting as individual agent of North American. 6. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Agent for Protective Life. 7. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Agent for Mass Mutual. 8. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Agent for American General. 9. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Agent for Lincoln National. 10. 1/30/2023 - Resource One - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/07/2022 - 10 Hours Per Month/2 Hours During Securities Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-18
S63 Uniform Securities Agent State Law Examination 1993-03-22
  • S65 Uniform Investment Adviser Law Examination
    1999-08-18
  • S63 Uniform Securities Agent State Law Examination
    1993-03-22

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