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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-02-04
IL RA APPROVED 2025-01-23
  • TX RA
    APPROVED
    Since 2025-02-04
  • IL RA
    APPROVED
    Since 2025-01-23

Branch Locations

165 West Lake Street, Bloomingdale, IL 60108 • 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
Perry Mason'S Tax Service Chicago IL 01/1993 Present
Wayne Hummer Investments Schaumburg IL 05/2013 01/2025
Lpl Financial Llc Bloomingdale IL 01/2025 Present
  • 01/1993 → Present
    Perry Mason'S Tax Service
    Chicago, IL
  • 05/2013 → 01/2025
    Wayne Hummer Investments
    Schaumburg, IL
  • 01/2025 → Present
    Bloomingdale, IL
Previous Registrations
  • 2013-05-29 → 2025-01-23
    Wintrust Investments Llc
    Chicago, IL
    Bloomingdale, IL
    Schaumburg, IL
    Wood Dale, IL
    Roselle, IL
    Schaumburg, IL
    Bloomingdale, IL
  • 2001-08-27 → 2013-05-31
    New England Securities
    Schaumburg, IL
    Northbrook, IL
    Chicago, IL
    Schaumburg, IL
    Chicago, IL
Other Businesses

1- 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 05/29/2013- 160 hours per month/ 10 hours during trading 2- 01/2025- BSA TRoop 297- Non-profit volunteer (not on board)- Investment Related - Illinois - Start Date 01/01/2024- 20 hours per month/ 0 hours during trading 3- 01/2025- Steven Schwer- Coach/ Sports/ Fitness- Referee- Not Investment Related - Illinois - Start Date 09/01/2019- 10 hours per month/ 0 hours during trading 4- 01/28/2025- SAA Recreational Soccer - Non-Profit Board Member- Investment Related - Springfield, IL- Start Date 09/01/2015 - 5 hours per month/ 0 hours during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-07-30
  • S66 Uniform Combined State Law Examination
    2001-07-30
Designations

View on SEC IAPD

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