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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 2021-04-13
IL RA APPROVED 2009-09-08
  • TX RA
    APPROVED_RES
    Since 2021-04-13
  • IL RA
    APPROVED
    Since 2009-09-08

Branch Locations

201 N Constitution Dr Ste D, Aurora, IL 60506 • United States

Sugar Grove, IL • 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
Aspen Marketing Corporation Aurora IL 08/1985 Present
Lpl Financial Corporation Aurora IL 09/2009 Present
  • 08/1985 → Present
    Aspen Marketing Corporation
    Aurora, IL
  • 09/2009 → Present
    Lpl Financial Corporation
    Aurora, IL
Previous Registrations
  • 2002-11-01 → 2009-09-08
    Waterstone Financial Group, Inc.
    Boston, MA
    Aurora, IL
    Aurora, IL
Other Businesses

ASPEN FINANCIAL SERVICES, 44 1/2 W. DOWNER PLACE, AURORA, IL 60507. INSURANCE BROKERAGE - 12 HRS/WK - 100% OWNER - BROKER LIFE/ HEALTH/ DI/ ANNUITIES 2. 03/30/2010 - OTHER-NOTARY PUBLIC/PROVIDING A NOTARY PUBLIC AS A SERVICE TO MY CLIENTS. 1% OF TIME. 3. 08/31/2010 - DBA - ASPEN FINANCIAL SERVICES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-17
S63 Uniform Securities Agent State Law Examination 1993-06-11
  • S65 Uniform Investment Adviser Law Examination
    1998-12-17
  • S63 Uniform Securities Agent State Law Examination
    1993-06-11

View on SEC IAPD

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