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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 2020-12-09
AZ RA APPROVED 2017-11-29
CO RA APPROVED 2017-11-29
GA RA APPROVED 2017-11-29
MI RA APPROVED 2017-11-29
MN RA APPROVED 2017-11-29
MT RA APPROVED 2017-11-29
ND RA APPROVED 2017-11-29
  • TX RA
    APPROVED_RES
    Since 2020-12-09
  • AZ RA
    APPROVED
    Since 2017-11-29
  • CO RA
    APPROVED
    Since 2017-11-29
  • GA RA
    APPROVED
    Since 2017-11-29
  • MI RA
    APPROVED
    Since 2017-11-29
  • MN RA
    APPROVED
    Since 2017-11-29
  • MT RA
    APPROVED
    Since 2017-11-29
  • ND RA
    APPROVED
    Since 2017-11-29

Branch Locations

15 1St Street Ne, Tioga, ND 58852 • United States

2407 2Nd Ave W Ste A, Williston, ND 58801 • 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
Investment Centers Of America, Inc. Williston ND 02/1993 11/2017
Lpl Financial Llc Williston ND 11/2017 Present
  • 02/1993 → 11/2017
    Investment Centers Of America, Inc.
    Williston, ND
  • 11/2017 → Present
    Williston, ND
Previous Registrations
  • 2000-03-22 → 2017-11-29
    Investment Centers Of America, Inc.
    Williston, ND
    Harvey, ND
    Williston, ND
    Tioga, ND
    Fessenden, ND
    Williston, ND
    Tioga, ND
    Appleton, WI
Other Businesses

1. 11/29/2017 - FIRST INTERNATIONAL INVESTMENTS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 01/05/2018 - Strategic Benefits Group (SBG) - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 01/04/2018 - 15 Hours Per Month/1 During Securities Trading. 3. 11/29/2018 - Investment Center Advisor Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/29/2017. 4. 10/3/2019 - INVESTMENT CENTER ADVISOR GROUP INSURANCE AGENCY - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/23/2019 - 10 Hours Per Month/1 Hour During Securities Trading. 5. 9/24/2020 - ICA Group Holding Co., LLC - Investment Related - 2000 S. Colorado Blvd., Annex Building Ste. 200, Denver, CO 80222 - Business Entity For Tax/Investment Purposes Only - Started 09/01/2020 - Time Spent 1%. 6) 01/28/2025 - Investment Center Advisor Group - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:02/01/2025 - 160 Hrs/Mth - 6 Hrs During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-10
S63 Uniform Securities Agent State Law Examination 1993-04-06
  • S65 Uniform Investment Adviser Law Examination
    1999-12-10
  • S63 Uniform Securities Agent State Law Examination
    1993-04-06

View on SEC IAPD

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