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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 2025-03-19
MN RA APPROVED 2024-08-09
  • TX RA
    APPROVED_RES
    Since 2025-03-19
  • MN RA
    APPROVED
    Since 2024-08-09

Branch Locations

Sartell, MN • United States

11670 Fountains Dr Ste 200, Maple Grove, MN 55369 • 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
The Vanguard Group, Inc. Charlotte NC 02/2006 10/2016
Tiaa Charlotte NC 10/2016 12/2019
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 10/2016 12/2019
The Vanguard Group, Inc. Charlotte NC 12/2019 02/2022
Kestra Investment Services, Llc Maple Grove MN 02/2022 08/2024
Kestra Advisory Services, Llc Maple Grove MN 02/2022 08/2024
Lpl Financial Llc Maple Grove MN 08/2024 Present
Previous Registrations
Other Businesses

1)08/07/2024 - NouaChi Vang Financial Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 08/2024 - 160 Hr/Mth 2)07/23/2024 - NouaChi Vang - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 03/2022 - 5 Hr/Mth 3)07/23/2024 - NouaChi Vang - Author - Inv Rel - Maple Grove, MN - Start: 05/2024 - 2 Hr/Mth 4)07/23/2024 - NCV Tax Preparation - Business Entity For Tax/Investment Purposes Only - Inv Rel - At Reported Business Location(s) - Start: 03/2022 - 2 Hr/Mth 5)07/23/2024 - NCV Financial LLC - Business Entity For Tax/Investment Purposes Only - Inv Rel - At Reported Business Location(s) - Start: 03/2022 - 5 Hr/Mth 6)07/23/2024 - ASSOCIATION OF FINANCIAL EDUCATORS - Conduct educational Literacy workshop using association of financial educators job aids and presentations - Inv Rel - Sugar Land, TX - Start: 06/2024 - 1 Hr/Mth

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-11-07
S63 Uniform Securities Agent State Law Examination 2006-03-21
  • S65 Uniform Investment Adviser Law Examination
    2014-11-07
  • S63 Uniform Securities Agent State Law Examination
    2006-03-21
Designations
Other Names
  • Nouachi Vang

View on SEC IAPD

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