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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-08-09 |
| IL | RA | APPROVED | 2005-08-01 |
Branch Locations
333 Pierce Road, Suite 405, Itasca, IL 60143 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Itasca | IL | 02/2005 | Present |
1. 12/20/2006: OTHER-NOTARY - NOTARY PUBLIC IN THE STATE OF ILLINOIS. - 1 % TIME SPENT - ITASCA, IL. 2. 4/19/2010: OTHER-SET UP LLC - STRATEGIC INVESTMENT PARTNERS, LLC - PER THE ADVICE OF OUR ATTORNEY, WE SET UP AN L LC(STRATEGIC INVESTMENT PARTNERS) FOR THE SOLE PURPOSE OF PAYING OUR JOINT OFFICE EXPENSES. - TIME SPENT 1% - ITASCA, IL. 3. 5/5/2011: FOR TAX PURPOSES ONLY - ZULAUF FINANCIAL SERVICES - ZULAUF FINANCIAL SERVICES WILL ONLY BE USED FOR BILL PAYING AND TAX REPORTING ITEMS. I AM NOT HOLDING THAT NAME OUT AS MY DBA. LPL FINANCIAL IS MY DBA - TIME SPENT 1% - ITASCA, IL. 4. 6/18/2013: OTHER-TOM IZZO'S BASKETBALL CAMP - TOM IZZO SUMMER BASKETBALL CAMP - COACHING AT TOM IZZO'S SUMMER BASKETBALL CAMP...WORKING WITH KIDS ON THEIR BASKETBALL SKILLS. WORKING THE CAMP AROUND THE 3RD WEEK OF JUNE EVERY SUMMER INCLUDING THIS ONE. - TIME SPENT 1%. 5. 08/17/2015 - TIME FINANCIAL (A CRUMP COMPANY) - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 08/15/2015 - 1 HR/MO DURING SECS TRDG HRS. 6. 10/3/2018 - United Health Group - Investment Related - Location/Address: n/a - Other-Health Insurance - Servicing Agent - 1 Hour Per Month/1 Hour During Securities Trading - I would act as a servicing agent on my own health insurance plan. 7. 09/09/2024 - Zulauf Financial Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business location(s) - Start Date 08/28/2024 - 160 Hours per Month/ 7 Hours during Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-07-27 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-30 |
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