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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2022-05-18
  • MN RA
    APPROVED
    Since 2022-05-18

Branch Locations

30 West Superior Street, Duluth, MN 55802 • United States

332 W Superior St Ste 100, Duluth, MN 55802 • United States

3308 W Arrowhead Rd, Duluth, MN 55811 • United States

3311 W Arrowhead Rd, Duluth, MN 55811 • United States

1702 Ave B, Cloquet, MN 55720 • United States

224 W Hwy 2, Floodwood, MN 55736 • United States

902 Stanley Avenue, Cloquet, MN 55720 • United States

90 Arrowhead Lane, Moose Lake, MN 55767 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cuna Mutual Group Waverly IA 06/2012 Present
Cuna Brokerage Services, Inc Waverly IA 06/2012 Present
Lpl Financial Llc Duluth MN 05/2022 Present
  • 06/2012 → Present
    Cuna Mutual Group
    Waverly, IA
  • 06/2012 → Present
    Cuna Brokerage Services, Inc
    Waverly, IA
  • 05/2022 → Present
    Duluth, MN
Previous Registrations
  • 2012-07-03 → 2022-05-18
    Cuna Brokerage Services, Inc.
    Duluth, MN
    Waverly, IA
    Cloquet, MN
    Carlton, MN
    Duluth, MN
    Duluth, MN
    Virginia, MN
    Duluth, MN
    Duluth, MN
  • 2010-10-26 → 2012-05-23
    Duluth, MN
  • 2009-09-15 → 2010-10-18
    Wells Fargo Investments, Llc
    Two Harbors, MN
Other Businesses

1)05/18/2022 Northwoods Retirement & Investment Services- Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business)- Institution Program Manager 2)05/18/2022 Northern Communities Retirement & Investment Services- Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business) 3)05/18/2022 MPECU Retirement & Investment Services- Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-09-09
  • S66 Uniform Combined State Law Examination
    2009-09-09

View on SEC IAPD

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