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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2021-03-24
  • WI RA
    APPROVED
    Since 2021-03-24

Branch Locations

216 Price Place, Madison, WI 53705 • United States

Middleton, WI • 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
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
  • 07/2011 → 12/2019
    Bmo Harris Financial Advisors Inc.
    Milwaukee, WI
  • 12/2019 → Present
    Bmo Harris Financial Advisors, Inc.
    Madison, WI
  • 03/2021 → Present
    Madison, WI
Previous Registrations
  • 2019-01-23 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Chicago, IL
    Madison, WI
    Eden Prairie, MN
    Salem, WI
    Maple Grove, MN
    Hudson, WI
    Dodgeville, WI
    Edina, MN
    Madison, WI
    Monona, WI
    Burlington, WI
    Woodbury, MN
    Chanhassen, MN
    Madison, WI
    Watertown, WI
    Shakopee, MN
    Madison, WI
    Janesville, WI
    Middleton, WI
    Minneapolis, MN
    Lake Geneva, WI
    Edgerton, WI
    Burnsville, MN
    Madison, WI
    Evansville, WI
    Janesville, WI
    Madison, WI
    Bloomington, MN
    Janesville, WI
    Beloit, WI
    Oregon, WI
    Richfield, MN
    Milwaukee, WI
    Edina, MN
    Sauk City, WI
    Baraboo, WI
    Sun Prairie, WI
    Milwaukee, WI
    Rockford, IL
    Rockford, IL
    Rockford, IL
    Rockford, IL
    Rockford, IL
    Shakopee, MN
    Rockford, IL
    Roscoe, IL
    Lakeville, MN
    Plymouth, MN
    Belvidere, IL
    Mt Horeb, WI
    Milwaukee, WI
    Minneapolis, MN
    Apple Valley, MN
    Madison, WI
    Reedsburg, WI
    Reedsburg, WI
    Minneapolis, MN
    St. Paul, MN
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Glencoe, IL
    Wheeling, IL
    Highland Park, IL
    Northbrook, IL
    Chicago, IL
    Woodstock, IL
    Skokie, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Niles, IL
    Gurnee, IL
    Palatine, IL
    Rolling Meadows, IL
    Fox Lake, IL
    Park Ridge, IL
    Chicago, IL
    Buffalo Grove, IL
    Chicago, IL
    Lake Barrington, IL
    Chicago, IL
    Calumet City, IL
    Chicago, IL
    Palatine, IL
    Palatine, IL
    Winnetka, IL
    Lake Forest, IL
    Libertyville, IL
    Libertyville, IL
    Algonquin, IL
    Buffalo Grove, IL
    Crystal Lake, IL
    Mchenry, IL
    Huntley, IL
    Huntley, IL
    Carpentersville, IL
    Minneapolis, MN
  • 2005-09-15 → 2012-08-17
    M&I Financial Advisors, Inc
    Woodbury, MN
    Hudson, WI
    Delavan, WI
    Lake Geneva, WI
    Lancaster, WI
    Edgerton, WI
    Evansville, WI
    Madison, WI
    Janesville, WI
    Lake Geneva, WI
    Madison, WI
    Salem, WI
    Edgerton, WI
    Evansville, WI
    Woodbury, MN
    Minneapolis, MN
    Sauk City, WI
    Shakopee, MN
    Bloomington, MN
    Watertown, WI
    Madison, WI
    Madison, WI
    Madison, WI
    Beloit, WI
    Janesville, WI
    Middleton, WI
    Monona, WI
    Sauk City, WI
    Burlington, WI
    Madison, WI
    Janesville, WI
    Dodgeville, WI
    Madison, WI
    Madison, WI
    Delavan, WI
    Sun Prairie, WI
    Madison, WI
    Beaver Dam, WI
    Madison, WI
    Edina, MN
    Chanhassen, MN
    Shakopee, MN
    Milwaukee, WI
    Madison, WI
    Madison, WI
    Sun Prairie, WI
  • 2010-04-06 → 2012-04-19
    M&I Investment Management Corp.
    Milwaukee, WI
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-10-14
S63 Uniform Securities Agent State Law Examination 1996-03-13
  • S65 Uniform Investment Adviser Law Examination
    2005-10-14
  • S63 Uniform Securities Agent State Law Examination
    1996-03-13
Designations
Other Names
  • Pete Schmidt
  • Peter L Schmidt

View on SEC IAPD

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