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Jay Agarwal

LPl Financial LLC

Chicago, IL

Chicago, IL

Chicago, IL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2017-04-11
TX RA APPROVED_RES 2017-04-11
  • IL RA
    APPROVED
    Since 2017-04-11
  • TX RA
    APPROVED_RES
    Since 2017-04-11

Branch Locations

111 N Wabash Ave Ste 1702, Chicago, IL 60602 • United States

4 E Ohio St Ste 25, Chicago, IL 60611 • United States

111 N Wabash Ave Ste 1702, Chicago, IL 60602 • 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
Hornor Townsend & Kent Inc Horsham PA 04/2010 02/2017
Penn Mutual Life Insurance Co Horsham PA 04/2010 03/2017
Lpl Financial, Llc Chicago IL 04/2017 Present
  • 04/2010 → 02/2017
    Hornor Townsend & Kent Inc
    Horsham, PA
  • 04/2010 → 03/2017
    Penn Mutual Life Insurance Co
    Horsham, PA
  • 04/2017 → Present
    Lpl Financial, Llc
    Chicago, IL
Previous Registrations
Other Businesses

1. 04/11/2017 - JAY AGARWAL/ NON-VARIABLE INSURANCE/ 20%/ CHICAGO, IL

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-23
S63 Uniform Securities Agent State Law Examination 1994-05-05
  • S65 Uniform Investment Adviser Law Examination
    1999-06-23
  • S63 Uniform Securities Agent State Law Examination
    1994-05-05

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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