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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2024-02-14
WI RA APPROVED 2017-07-19
  • AZ RA
    APPROVED
    Since 2024-02-14
  • WI RA
    APPROVED
    Since 2017-07-19

Branch Locations

325 N. Corporate Dr. #100, Brookfield, WI 53045 • United States

Scottsdale, AZ • United States

Great Valley Advisor Group, Llc

920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-24
WI RA APPROVED 2016-05-26
  • TX RA
    APPROVED_RES
    Since 2020-04-24
  • WI RA
    APPROVED
    Since 2016-05-26

Branch Locations

325 N Corporate Drive Suite 120, Brookfield, WI 53045 • United States

920 Cassatt Road Suite 202, Berwyn, PA 19312 • 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
Lpl Financial, Llc Brookfield WI 05/2015 Present
Great Valley Advisor Group Wilmington DE 05/2016 Present
  • 05/2015 → Present
    Brookfield, WI
  • 05/2016 → Present
    Great Valley Advisor Group
    Wilmington, DE
Previous Registrations
  • 2003-01-27 → 2015-05-08
    Msi Financial Services, Inc.
    Milwaukee, WI
    Milwaukii, WI
    Milwaukee, WI
Other Businesses

(1) 05/14/2015: NEXT LEVEL PLANNING & WEALTH MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - N 62 W28562 RYBECK RD HARTLAND WI 53029 - START 05/01/2015 - 95% OF TIME SPENT (2) 05/14/2015: NEXT LEVEL PLANNING & WEALTH MANAGEMENT - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - START 01/2003 - 5% OF TIME SPENT - AGENT. INS TYPES: HEALTH, LIFE, DISABILITY, LTC, FIXED ANNUITIES. (3) 5/27/2016: Great Valley Advisor Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/18/2016 - 80 Hours Per Month During Securities Trading. (4) 5/27/2016: Great Valley Advisor Group, inc. - DBA: Next Level Planning & Wealth Mgmt - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 05/05/2015 - 80 Hours Per Month During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-15
S63 Uniform Securities Agent State Law Examination 1994-09-23
  • S65 Uniform Investment Adviser Law Examination
    1995-11-15
  • S63 Uniform Securities Agent State Law Examination
    1994-09-23

View on SEC IAPD

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