Shawn R Gaustad

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2025-01-01
AZ	RA	APPROVED	2018-02-14
IA	RA	APPROVED	2018-02-14
KS	RA	APPROVED	2018-02-14
MN	RA	APPROVED	2018-02-14
NC	RA	APPROVED	2018-02-14
SD	RA	APPROVED	2018-02-14
TX	RA	APPROVED	2018-02-14

WI RA
APPROVED

Since 2025-01-01
AZ RA
APPROVED

Since 2018-02-14
IA RA
APPROVED

Since 2018-02-14
KS RA
APPROVED

Since 2018-02-14
MN RA
APPROVED

Since 2018-02-14
NC RA
APPROVED

Since 2018-02-14
SD RA
APPROVED

Since 2018-02-14
TX RA
APPROVED

Since 2018-02-14

Branch Locations

7015 Alvarado Lane North, Maple Grove, MN 55311 • United States

9353 Jefferson Hwy, Maple Grove, MN 55369 • United States

9790 Schreiber Ter N, Brooklyn Park, MN 55445 • United States

4190 Vinewood Lane North, Plymouth, MN 55442 • United States

900 American Boulevard West, Bloomington, MN 55420 • United States

976 Lexington Parkway, St Paul, MN 55103 • United States

3505 Northdale Blvd Nw, Coon Rapids, MN 55448 • United States

11681 Theatre Dr N, Champlin, MN 55316 • United States

4 S Pine Dr, Circle Pines, MN 55014 • United States

1452 Lake St S, Forest Lake, MN 55025 • United States

11121 Fountains Dr, Maple Grove, MN 55369 • United States

23280 St Francis Blvd Nw, St Francis, MN 55070 • 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

Organization	City	State	From	To
Topline Fcu	Brooklyn Park	MN	06/2013	Present
Invest Financial Corp.	Tampa	FL	07/2013	Present
Lpl Financial Llc	Bloomington	MN	02/2018	Present

06/2013 → Present

Topline Fcu

Brooklyn Park, MN
07/2013 → Present

Invest Financial Corp.

Tampa, FL
02/2018 → Present

Lpl Financial Llc

Bloomington, MN

Previous Registrations

2013-08-21 → 2018-02-16

Invest Financial Corporation

Brooklyn Park, MN

Plymouth, MN

Maple Grove, MN

St. Paul, MN

Bloomington, MN

Appleton, WI
2011-01-03 → 2013-07-08

Wells Fargo Clearing Services, Llc

Saint Paul, MN

Minneapolis, MN

Minneapolis, MN

Minneapolis, MN

Minneapolis, MN

Minnapolis, MN
2010-09-08 → 2011-01-03

Wells Fargo Investments, Llc

Saint Paul, MN
2009-03-17 → 2010-09-21

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Minneapolis, MN

Other Businesses

1. 02/14/2018 - Topline Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-03-14

S66 Uniform Combined State Law Examination

2009-03-14

Other Names

Shawn Russell Gaustad

View on SEC IAPD