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Current Employers
Redwing Financial

451 Dunham Road Suite 202, St. Charles, IL 60174 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2018-01-31
  • IL RA
    APPROVED
    Since 2018-01-31

Branch Locations

451 Dunham Road Suite 202, St. Charles, IL 60174 • 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 St. Charles IL 07/2011 Present
The Lighthouse Institute, Inc North Aurora IL 02/2016 01/2018
Redwing Financial, Llc St. Charles IL 01/2018 Present
  • 07/2011 → Present
    Lpl Financial, Llc
    St. Charles, IL
  • 02/2016 → 01/2018
    The Lighthouse Institute, Inc
    North Aurora, IL
  • 01/2018 → Present
    Redwing Financial, Llc
    St. Charles, IL
Previous Registrations
  • 2016-02-04 → 2018-02-02
    Lighthouse Institute
    North Aurora, IL
  • 2012-06-05 → 2016-04-01
    Highpoint Planning Partners
    Downers Grove, IL
  • 2007-03-27 → 2011-07-15
    St. Charles, IL
Other Businesses

1. 07/06/2011: No Business Name - Other-Nutrition - Certified Holistic Nutrional Consultant; Probono speaking on nutritional issues to help people to learn how to eat better. 2. 9/28/2011: Leaders Partners, INC. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 5% - Writing Life Insurance and Long-Term Care Insurance. 3. 2/6/2018 - Redwing Financial, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 02/01/2018 - 160 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Redwing Financial, LLC, an independent investment advisor firm. I started this business activity in February 2018. I expect to spend approximately 160 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 2/6/2018 - Redwing Financial, LLC - DBA: Redwing Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 02/01/2018 - 160 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Redwing Financial, LLC, an independent investment advisor firm. I started this business activity in February 2018. I expect to spend approximately 160 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 2/27/2018 - No Business Name - Not Investment Related - No Specific Business Location - Other-Public Speaker - Start Date:2/1/2018 - 2 Hours Per Month/0 Hours during Trading. 6. 09/12/2023 - No Business Name - Other - Author - Co-Author - Investment Related - Start Date 10/20/2016 - 0 Hours Per Month/ During Trading 7. 11/15/2024 - Other - Education/Coaching - Astrologer - Not Investment Related - Home Based - Start Date 12/01/2024 - 10 Hours Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-26
  • S66 Uniform Combined State Law Examination
    2007-03-26
Other Names
  • Dina Renee Lucia
  • Dina Renee Weiss

View on SEC IAPD

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