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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 2020-05-01
FL RA APPROVED 2019-05-01
  • TX RA
    APPROVED_RES
    Since 2020-05-01
  • FL RA
    APPROVED
    Since 2019-05-01

Branch Locations

3277 Fruitville Rd Bldg. F1, Sarasota, FL 34237 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fsc Securities Corporation Sarasota FL 04/2013 04/2019
Lpl Financial Llc Sarasota FL 04/2019 Present
  • 04/2013 → 04/2019
    Fsc Securities Corporation
    Sarasota, FL
  • 04/2019 → Present
    Sarasota, FL
Previous Registrations
  • 2013-05-16 → 2019-05-06
    Fsc Securities Corporation
    Nokomis, FL
    Atlanta, GA
    Sarasota, FL
    Cape Coral, FL
  • 2007-04-25 → 2013-04-17
    Msi Financial Services, Inc.
    Cape Coral, FL
    Ft. Myers, FL
    Sarasota, FL
    Sarasota, FL
Other Businesses

1)4/30/19- The InCompass Group LLC- Tax Prep/Accounting/CPA- Inv. Related- Sarasota, FL -start dat 4/23/2013- 4hrs/ -1% 2)4/30/19- Non-Variable Insurance- Agent for fixed insurance products- Inv. Related- Sarasota, FL- start date 4/23/2013- 8hrs/mth - 5% 3)4/30/19- THE INCOMPASS GROUP LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- Sarasota, FL - start date 4/23/2013- 100% 4) 1/8/2020 - The InCompass Group - Investment Related - At Reported Business Location(s) - Insurance Agency - Started 04/29/2013 - 40 Hours Per Month During Securities Trading - Fixed (individual and group) Life, disability, property & casualty long-term care, health insurance along with fixed annuities and single premium immediate annuities (SPIAs). 5) 7/23/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary Public - Start Date: 08/10/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Approved in Florida to act as a Notary Public. A complementary service utilized in current role. 6) 06/15/2022 - Oksem Holdings LLC - Investment Related - Bradenton, FL 34202 - Real Estate Rental - Start Date - 06/01/2022 - 1 Hours Per Month/ 0 Hours During Securities Trading. 7. 09/05/2025 - Kanaya Commercial LLC - Real Estate Rental - Home Based - Inv Rel - Start date: 08/29/2025 - 1 Hours Per Month/ 0 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-03-15
S63 Uniform Securities Agent State Law Examination 2007-01-24
  • S65 Uniform Investment Adviser Law Examination
    2007-03-15
  • S63 Uniform Securities Agent State Law Examination
    2007-01-24

View on SEC IAPD

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