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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-04-07
IA RA APPROVED 2015-08-19
  • TX RA
    APPROVED_RES
    Since 2021-04-07
  • IA RA
    APPROVED
    Since 2015-08-19

Branch Locations

6165 Nw 86Th St, Johnston, IA 50131 • United States

Kellogg, IA • 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 Des Moines IA 08/2008 Present
  • 08/2008 → Present
    Lpl Financial
    Des Moines, IA
Other Businesses

(1) 03/04/2015 - NON-VARIABLE INSURANCE - TIME SPENT 5 HOURS PER MONTH - DES MOINES, IA (2) 08/21/2015 - FARM - NOT INV REL - 2510 E 92 ST S NEWTON, IA 50208 - START 09/15/2015 - 10 HRS/MO NOT DURING SECS TRDG HRS. (3) 06/22/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 05/20/2022 - 1 Hours Per Month/ 0 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-08-18
S63 Uniform Securities Agent State Law Examination 2009-07-22
  • S65 Uniform Investment Adviser Law Examination
    2015-08-18
  • S63 Uniform Securities Agent State Law Examination
    2009-07-22

View on SEC IAPD

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