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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2021-03-24 |
Branch Locations
216 Price Place, Madison, WI 53705 • United States
Middleton, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bmo Harris Financial Advisors Inc. | Milwaukee | WI | 07/2011 | 12/2019 |
| Bmo Harris Financial Advisors, Inc. | Madison | WI | 12/2019 | Present |
| Lpl Financial Llc | Madison | WI | 03/2021 | Present |
1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - MADISON, WI 2) 01/31/2019 - Act in a Fiduciary Capacity - Barbara A. Schmidt Living Trust - Investment Related - Neenah, Wisconsin
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 1996-03-13 |
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