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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2016-01-05
  • OH RA
    APPROVED
    Since 2016-01-05

Branch Locations

225 W Upper Lewisburg Salem Rd, Brookville, OH 45309 • United States

2 N Broadway St, Lebanon, OH 45036 • United States

1697 North Barron St, Eaton, OH 45320 • United States

522 South Commerce St, Lewisburg, OH 45338 • United States

110 West Main St, Eaton, OH 45320 • United States

9 N Main, Waynesville, OH 45068 • United States

9605 Dayton Lebanon Pike, Centerville, OH 45458 • United States

2705 Far Hills Ave, Dayton, OH 45419 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Brookville OH 01/2016 Present
Lcnb National Bank Brookville OH 01/2016 Present
  • 01/2016 → Present
    Brookville, OH
  • 01/2016 → Present
    Lcnb National Bank
    Brookville, OH
Previous Registrations
  • 2013-05-06 → 2016-01-05
    Dayton, OH
    Dayton, OH
    Cincinnati, OH
    Cincinnati, OH
    Clawson, MI
  • 2011-05-11 → 2013-03-01
    Centerville, OH
    Dayton, OH
    Dayton, OH
    Springfield, OH
    New Carlisle, OH
    Springfield, OH
    Springfield, OH
    Huber Heights, OH
    Centerville, OH
    Dayton, OH
    Huber Heights, OH
    Beavercreek, OH
    Beavercreek, OH
    Dayton, OH
  • 2009-01-27 → 2011-05-06
    Oakwood, OH
    Troy, OH
    Dayton, OH
    Beavercreek, OH
    Beavercreek, OH
    Dayton, OH
    West Carrollton, OH
    Dayton, OH
    Oakwood, OH
  • 2005-09-12 → 2009-01-02
    Beavercreek, OH
    Beavercreek, OH
    Centerville, OH
    Dayton, OH
    Dayton, OH
    Franklin, OH
    Huber Heights, OH
    Kettering, OH
    Miamisburg, OH
    Trotwood, OH
    Dayton, OH
    Beavercreek, OH
    Fairborn, OH
    Springfield, OH
    Oakwood, OH
    Dayton, OH
Other Businesses

1. 1/5/2016 - LCNB Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 6/8/2017 - No Business Name - Investment Related - Xenia OH 45385 - Real Estate Rental - Started 01/01/2017 - 2 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-06-24
S63 Uniform Securities Agent State Law Examination 2000-10-10
  • S66 Uniform Combined State Law Examination
    2005-06-24
  • S63 Uniform Securities Agent State Law Examination
    2000-10-10
Other Names
  • Gary A Kozee

View on SEC IAPD

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