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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-05-19
IN RA APPROVED 2022-05-18
  • FL RA
    APPROVED
    Since 2022-05-19
  • IN RA
    APPROVED
    Since 2022-05-18

Branch Locations

2000 Heritage Way, Waverly, IA 50677 • United States

Inverness, FL • 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
Cuna Mutual Group Waverly IA 02/2003 Present
Cuna Brokerage Services, Inc. Waverly IA 02/2003 Present
Lpl Financial Llc Inverness FL 05/2022 Present
  • 02/2003 → Present
    Cuna Mutual Group
    Waverly, IA
  • 02/2003 → Present
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 05/2022 → Present
    Inverness, FL
Previous Registrations
  • 2003-02-18 → 2022-06-06
    Cuna Brokerage Services, Inc.
    Vienna, VA
    Indianapolis, IN
    Kansas City, MO
    St. Louis, MO
    Brentwood, TN
    Chattanooga, TN
    Greenville, TN
    Decatur, AL
    Oakridge, TN
    Atlanta, GA
    Marietta, GA
    Columbus, GA
    Warrenville, SC
    Columbus, IN
    West Lafayette, IN
    Goshen, IN
    Burns Harbor, IN
    Wabash, IN
    South Bend, IN
    Evansville, IN
    Columbia, SC
    Nashville, TN
    Muscle Shoals, AL
    W Lafayette, IN
    Newburgh, IN
    N Charleston, SC
    Chattanooga, TN
    Tullahoma, TN
    Irmo, SC
    Bedford, IN
    Knoxville, TN
    Indianapolis, IN
    Columbia, SC
    Greenville, SC
    St Louis, MO
    Gladstone, MO
    St Louis, MO
    Birmingham, AL
    Nashville, TN
    Decatur, GA
    Alcoa, TN
    Oak Ridge, TN
    Kennesaw, GA
    Tuscaloosa, AL
    Tuscaloosa, AL
    Birmingham, AL
    Indianapolis, IN
    Blue Springs, MO
    N. Charleston, SC
    Atlanta, GA
    Kennesaw, GA
    Fort Wayne, IN
    Defiance, OH
    Norcross, GA
    Fort Wayne, IN
    East Chicago, IN
    Duluth, GA
    Sumter, SC
    Hartsville, SC
    Lafayette, IN
    Duluth, GA
    Columbus, IN
    Dalton, GA
    Lilburn, GA
    Montgomery, AL
    Goshen, IN
    Wakarusa, IN
    Brentwood, TN
    Charleston, SC
    Lafayette, IN
    Atlanta, GA
    Lawrenceville, GA
    Lafayette, IN
    Lexington, SC
    Albertville, AL
    Columbia, SC
    Millington, TN
    Atlanta, GA
    Evans, GA
    Warsaw, IN
    Columbia, SC
    Murfreesboro, TN
    Sellersburg, IN
    Irmo, SC
    Charleston, SC
    Cordova, TN
    Foley, AL
    Indianapolis, IN
    Indianapolis, IN
    Kennesaw, GA
    Chattanooga, TN
    N Charleston, SC
    Summerville, SC
    New Albany, IN
    Knoxville, TN
    Indianapolis, IN
    Waverly, IA
    Floral City, FL
    Inverness, FL
    Inverness, FL
    Waverly, IA
  • 2003-01-10 → 2003-02-04
    Raleigh, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-01-07
S65 Uniform Investment Adviser Law Examination 1998-11-09
S63 Uniform Securities Agent State Law Examination 1994-06-27
  • S66 Uniform Combined State Law Examination
    2003-01-07
  • S65 Uniform Investment Adviser Law Examination
    1998-11-09
  • S63 Uniform Securities Agent State Law Examination
    1994-06-27
Other Names
  • Kim Marie Whitaker

View on SEC IAPD

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