Best Investors Account Sign in

Daniel Shek-Tung Moy

LPl Financial LLC

Glenview, IL

Claim This Profile
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2015-05-18
  • IL RA
    APPROVED
    Since 2015-05-18

Branch Locations

2700 Patriot Blvd, Suite 250, Glenview, IL 60026 • 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, Llc Glenview IL 05/2015 Present
Previous Registrations
  • 2009-07-30 → 2015-04-30
    St Louis, MO
    Des Plaines, IL
    Mount Prospect, IL
Other Businesses

1. 04/05/2016; NO BUSINESS NAME; Speaker/Seminar; NOT INV REL; AT REPORTED BUSINESS LOCATION(S); START DATE 04/20/2016; tarting a new coffee club for prospects and existing clients. Topics of discussions - current market events, market trends, interest rate trends, People to invite: prospects, current clients, people that I network with, former co-workers, How often - once a month, Duration - about one hour each meeting, where - conference room in my office building, I will provide the coffee or tea, No charge - free; No handouts; Invitation by phone or e-mails. 1 HR/MO; 1 HR DURING SECS TRADING HOURS. 2. 10/24/2019 - The Eugene Cohen Agency - Investment related - 9933 N Lawler Skokie, IL 60077 - Non-Variable Insurance - start date:10/16/2019 - 2 hrs/mo - 1 hr during trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-07-17
  • S66 Uniform Combined State Law Examination
    2009-07-17
Other Names
  • Daniel Moy

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Glenview, IL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor