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Leah Jean Fink

LPl Financial LLC

Roscoe, IL

Boston, MA

CRD 5709885

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-03-31
TX RA APPROVED_RES 2020-11-23
LA RA APPROVED 2018-09-17
WI RA APPROVED 2018-09-17
  • IL RA
    APPROVED
    Since 2021-03-31
  • TX RA
    APPROVED_RES
    Since 2020-11-23
  • LA RA
    APPROVED
    Since 2018-09-17
  • WI RA
    APPROVED
    Since 2018-09-17

Branch Locations

Roscoe, IL • United States

201 Washington St Ste 300, Boston, MA 02108 • 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
Madison Area Technical College Madison WI 08/2016 01/2017
Texas Roadhouse Madison WI 11/2016 02/2017
Sii Investments Inc Appleton WI 02/2017 03/2018
Unemployed Cottage Grove WI 03/2018 09/2018
Lpl Financial Llc Cottage Grove WI 09/2018 Present
  • 08/2016 → 01/2017
    Madison Area Technical College
    Madison, WI
  • 11/2016 → 02/2017
    Texas Roadhouse
    Madison, WI
  • 02/2017 → 03/2018
    Sii Investments Inc
    Appleton, WI
  • 03/2018 → 09/2018
    Unemployed
    Cottage Grove, WI
  • 09/2018 → Present
    Lpl Financial Llc
    Cottage Grove, WI
Previous Registrations
  • 2017-04-19 → 2018-03-19
    Sii Investments, Inc.
    Appleton, WI
  • 2017-04-19 → 2018-03-19
    Investment Centers Of America, Inc.
    Appleton, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-18
S63 Uniform Securities Agent State Law Examination 2016-06-08
  • S65 Uniform Investment Adviser Law Examination
    2017-04-18
  • S63 Uniform Securities Agent State Law Examination
    2016-06-08
Other Names
  • Leah Jean Heimerl

View on SEC IAPD

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