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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 2021-01-14
IL RA APPROVED 2016-07-07
  • TX RA
    APPROVED_RES
    Since 2021-01-14
  • IL RA
    APPROVED
    Since 2016-07-07

Branch Locations

170 S Bloomingdale Rd Ste 300, Bloomingdale, IL 60108 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Bloomingdale IL 07/2016 Present
Previous Registrations
  • 2012-10-01 → 2016-07-14
    Bartlett, IL
    Hanover Park, IL
    Streamwood, IL
    Hanover Park, IL
    Schaumburg, IL
    Streamwood, IL
  • 2012-02-01 → 2012-10-01
    Chase Investment Services Corp.
    Rockford, IL
    Glen Ellyn, IL
    Streamwood, IL
    Hanover Park, IL
    Bartlett, IL
    Streamwood, IL
Other Businesses

1) 2/7/2017 - CAPITAL INVESTORS GROUP, INC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/26/2017 - 50 Hours Per Month During Securities Trading - usiness entity for tax purposes. 2) 07/20/2017-Capital Investors Group, Inc-DBA: HighPoint Planning Partners, LLC-investment related-At reported business location(s)- DBA for LPL Business (entity for LPL business)-start 07/19/2017-Hours per month 40/hours during trading 40 3) 1/21/2021 - Capital Investors Group Inc - DBA: CIG WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/11/2021 - 40 Hours Per Month/8 Hours During Securities Trading. 4) 10/04/2024 - CAPITAL INVESTORS GROUP HOLDINGS, LLC - Business Entity For Tax/Investment Purposes Only - Partner - Not Investment Related - At Reported Business Location(s) - Start Date 02/01/2024 - 0 Hours Per Month/ During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-01-30
S63 Uniform Securities Agent State Law Examination 2008-12-01
  • S66 Uniform Combined State Law Examination
    2012-01-30
  • S63 Uniform Securities Agent State Law Examination
    2008-12-01

View on SEC IAPD

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