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Stephen Michael Collins

LPl Financial LLC

Waverly, IA

West Chester, PA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2022-05-18
  • PA RA
    APPROVED
    Since 2022-05-18

Branch Locations

2000 Heritage Way, Waverly, IA 50677 • United States

West Chester, PA • 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 Brokerage Services, Inc. Coraopolis PA 10/2000 05/2022
Cuna Mutual Group Waverly IA 10/2000 05/2022
Lpl Financial Llc Waverly IA 05/2022 Present
  • 10/2000 → 05/2022
    Cuna Brokerage Services, Inc.
    Coraopolis, PA
  • 10/2000 → 05/2022
    Cuna Mutual Group
    Waverly, IA
  • 05/2022 → Present
    Lpl Financial Llc
    Waverly, IA
Previous Registrations
  • 2010-05-24 → 2022-05-18
    Cuna Brokerage Services, Inc.
    Brownstown Twp, MI
    West Chester, PA
    West Chester, PA
    Marlboro, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-05-20
S63 Uniform Securities Agent State Law Examination 1993-11-02
  • S66 Uniform Combined State Law Examination
    2010-05-20
  • S63 Uniform Securities Agent State Law Examination
    1993-11-02

View on SEC IAPD

Other Firms

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
MML INVESTORS SERVICES, LLC
PRINCIPAL SECURITIES, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
R.D.DRENKOW & CO., INC.
FIRST HEARTLAND CONSULTANTS, INC.
EDWARD JONES
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

ANGIE RENEE HUBBARD
MARK DAVID HUBBARD
KEVIN C TENNYSON
PATRICK A CEFALO
THOMAS EDWARD WALDRON
HEATHER LEE WILLBORN
DENISE THOMAS ESKELSON
EMILY L LANE

Other Offices

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Waverly, IA
MML INVESTORS SERVICES, LLC · Waverly, IA
PRINCIPAL SECURITIES, INC. · Waverly, IA
STATE FARM INVESTMENT MANAGEMENT CORP. · Waverly, IA
R.D.DRENKOW & CO., INC. · WAVERLY, IA
FIRST HEARTLAND CONSULTANTS, INC. · WAVERLY, IA
EDWARD JONES · WAVERLY, IA
EDWARD JONES · WAVERLY, IA

More in Waverly, IA

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