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Current Employers
Harborfront Financial Group

401 W Ludington Ave Ste 103, Ludington, MI 49431 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2024-10-02
TX RA APPROVED 2024-10-02
  • MI RA
    APPROVED
    Since 2024-10-02
  • TX RA
    APPROVED
    Since 2024-10-02

Branch Locations

401 W Ludington Ave Ste 103, Ludington, MI 49431 • 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 Ludington MI 02/2004 Present
Harborfront Financial Llc Ludington MI 09/2024 Present
Lpl Financial Llc Ludington MI 05/2010 09/2024
  • 02/2004 → Present
    Lpl Financial Llc
    Ludington, MI
  • 09/2024 → Present
    Harborfront Financial Llc
    Ludington, MI
  • 05/2010 → 09/2024
    Lpl Financial Llc
    Ludington, MI
Other Businesses

1) 01/28/2004- None-HARBORFRONT FINANCIAL - Investment Related -DBA for LPL Business (entity for LPL business)-None - 0 Hrs/Mth - 0Hrs During Trading 2) 05/03/2005 - None-HARBORFRONT FINANCIAL - Investment Related - DBA for LPL Business (entity for LPL business)-None - 0 Hrs/Mth - 0Hrs During Trading 3)06/14/2006 - None -Real Estate Rental - Investment Related - None - none-0 Hrs/Mth - 0Hrs During Trading. 4. 03/04/2013 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - I am going to sell some individual health insurance. I've contracted to Assurant health as my own general agency. when I called compliance they told me to do it this way. Thanks!! Ray - 1% TIME SPENT. 5. 5/12/2017 - Custer Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/10/2017 - 40 Hours Per Month During Securities Trading. 6) 08/06/2021 - Focus Financial Retirement Specialists - Investment Related -Rd Muskegon mi - DBA for LPL Business (entity for LPL business) - Start Date:07/30/2021 - 5 Hrs/Mth - 5 Hrs During Trading. 7. 01/03/2022 - Shoreline Financial Solutions - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/03/2022 - 100 Hours Per Month/100 Hours During Securities Trading. 8. 01/05/2022 - Janish Farms LLC - Not Investment Related - 1100 N Gordon Rd - Other-Farm - Start Date: 02/20/2015 - 40 Hours Per Month/0 Hours During Securities Trading - We are going to farm beef cattle for showing in 4-H. 9. 10/05/2023 - Custer Hunt Club - Real Estate Rental - Investment Related - Multiple Properties in MI - Start Date 12/09/2022 - 5 Hours Per Month/0 Hours During Securities Trading 10. 06/25/2024 - nexannuity - Non-Variable Insurance - Producer - Investment Related - At Reported Business Location(s) - Start Date 04/29/2024 - 2 Hours Per Month/ During Trading 11) 04/22/2025 - Harborfront Financial,LLC - Investment Related - Registered Investment Advisor Hybrid - At Reported Business Location(s) - Start Date:10/01/2024 - 80 Hrs/Mth - 4 Hrs During Trading.I provide investment advisory services to Harborfront Financial, LLC, an independent investment advisor firm. I started this business activity in 4/2025. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm¿s Form ADV 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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-05-26
S63 Uniform Securities Agent State Law Examination 1996-01-11
  • S65 Uniform Investment Adviser Law Examination
    2010-05-26
  • S63 Uniform Securities Agent State Law Examination
    1996-01-11
Designations

View on SEC IAPD

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