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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2026-04-28
  • MO RA
    APPROVED
    Since 2026-04-28

Branch Locations

1101 1St Capitol Drive, Saint Charles, MO 63301 • United States

435 Mid Rivers Mall Drive, St. Peters, MO 63376 • 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 Mutual Group Waverly IA 02/2013 10/2018
Cuna Brokerage Services Waverly IA 02/2013 10/2018
Infinex Investments, Inc. Meriden CT 10/2018 12/2019
First Bank Webster Groves MO 10/2018 12/2019
The Prudential Insurance Company Of America Swansea IL 12/2019 09/2020
Pruco Securities Swansea IL 12/2019 09/2020
Cetera Investment Advisers Llc Belleville IL 09/2020 04/2026
Cetera Investment Services Llc St. Cloud MN 09/2020 04/2026
Regions Bank Belleville IL 09/2020 04/2026
Lpl Financial Llc St Peters MO 04/2026 Present
Commerce Bank St Peters MO 04/2026 Present
  • 02/2013 → 10/2018
    Cuna Mutual Group
    Waverly, IA
  • 02/2013 → 10/2018
    Cuna Brokerage Services
    Waverly, IA
  • 10/2018 → 12/2019
    Infinex Investments, Inc.
    Meriden, CT
  • 10/2018 → 12/2019
    First Bank
    Webster Groves, MO
  • 12/2019 → 09/2020
    The Prudential Insurance Company Of America
    Swansea, IL
  • 12/2019 → 09/2020
    Pruco Securities
    Swansea, IL
  • 09/2020 → 04/2026
    Belleville, IL
  • 09/2020 → 04/2026
    Cetera Investment Services Llc
    St. Cloud, MN
  • 09/2020 → 04/2026
    Regions Bank
    Belleville, IL
  • 04/2026 → Present
    St Peters, MO
  • 04/2026 → Present
    Commerce Bank
    St Peters, MO
Previous Registrations
  • 2020-09-14 → 2026-04-24
    Cape Girardeau, MO
    Belleville, IL
  • 2019-12-16 → 2020-09-16
    Swansea, IL
    Swansea, IL
  • 2018-10-09 → 2019-12-13
    Webster Groves, MO
    Charlotte, NC
    Webster Groves, MO
  • 2013-02-14 → 2018-10-02
    Cuna Brokerage Services, Inc.
    St. Louis, MO
    Hazelwood, MO
    Fenton, MO
  • 2010-12-13 → 2011-06-03
    St. Louis, MO
    St. Louis, MO
    St. Louis, MO
    Oakville, MO
    Jennings,, MO
  • 2010-06-03 → 2010-09-21
    Arnold, MO
    Crystal City, MO
    Saint Louis, MO
  • 2009-11-13 → 2010-05-19
    Belleville, IL
    St. Louis, MO
    Edwardsville, IL
    St. Louis, MO
    Collinsville, IL
    St. Louis, MO
    Waterloo, IL
    O'FAllon, IL
    St. Louis, MO
  • 2007-07-13 → 2009-11-13
    Natcity Investments, Inc.
    Edwardsville, IL
    O'FAllon, IL
    St. Louis, MO
    St. Louis, MO
    St. Louis, MO
    Collinsville, IL
    Waterloo, IL
    St. Louis, MO
    St. Louis, MO
  • 2006-01-11 → 2007-07-05
    Alton, IL
    Alton, IL
    Alton, IL
    Alton, IL
Other Businesses

1. "Investment products and services are offered through LPL Financial LLC using the DBA/trade name Commerce Financial Advisors - Inv Rel - At Reported Business Location (s) - Start Date : 04/2026

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-13
S63 Uniform Securities Agent State Law Examination 1995-11-01
  • S65 Uniform Investment Adviser Law Examination
    1995-11-13
  • S63 Uniform Securities Agent State Law Examination
    1995-11-01
Other Names
  • Jim Welch
  • James R Welch

View on SEC IAPD

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