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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2020-10-02
  • IA RA
    APPROVED
    Since 2020-10-02

Branch Locations

12333 University Ave, Clive, IA 50325 • 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
Ameritas Investment Corp Lincoln NE 12/2011 02/2017
First American Bank (Accquired By Greenstate Cu) Clive IA 11/2011 Present
Sii West Des Moines IA 02/2017 11/2018
Royal Alliance Associates, Inc. Clive IA 11/2018 09/2020
Lpl Financial, Llc Clive IA 09/2020 Present
  • 12/2011 → 02/2017
    Ameritas Investment Corp
    Lincoln, NE
  • 11/2011 → Present
    First American Bank (Accquired By Greenstate Cu)
    Clive, IA
  • 02/2017 → 11/2018
    Sii
    West Des Moines, IA
  • 11/2018 → 09/2020
    Royal Alliance Associates, Inc.
    Clive, IA
  • 09/2020 → Present
    Clive, IA
Previous Registrations
  • 2018-11-02 → 2020-10-05
    Clive, IA
    Johnston, IA
  • 2017-03-07 → 2018-11-02
    Signator Investors, Inc.
    Clive, IA
    Clive, IA
    Johnston, IA
    Johnston, IA
  • 2012-01-20 → 2017-03-09
    Ameritas Investment Company, Llc
    Clive, IA
    W Des Moines, IA
  • 2007-05-10 → 2011-08-02
    Dewaay Capital Management
    West Des Moines, IA
Other Businesses

1. 9/30/2020 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Started 02/17/2006 - Time Spent 1%. 2. 9/30/2020 - GreenState Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-01
  • S66 Uniform Combined State Law Examination
    2007-05-01
Other Names
  • Joyce Ellen Brady-Carr
  • Joyce Ellen Carr
  • Joy Brady

View on SEC IAPD

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