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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2018-06-20
TX RA APPROVED 2018-06-20
  • IL RA
    APPROVED
    Since 2018-06-20
  • TX RA
    APPROVED
    Since 2018-06-20

Branch Locations

2 W Northwest Hwy, Arlington Heights, IL 60004 • 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
Cetera Advisor Networks Llc Arlington Heights IL 02/2016 06/2018
Platania Financial Inc Arlington Heights IL 12/2015 Present
Lpl Financial Llc Arlington Heights IL 06/2018 Present
  • 02/2016 → 06/2018
    Cetera Advisor Networks Llc
    Arlington Heights, IL
  • 12/2015 → Present
    Platania Financial Inc
    Arlington Heights, IL
  • 06/2018 → Present
    Arlington Heights, IL
Previous Registrations
  • 2016-05-24 → 2018-06-21
    Cetera Wealth Services, Llc
    Arlington Heights, IL
Other Businesses

1) 05/29/2018 - Platania Financial Inc - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 01/1994 - 160 hr/mth 2) 05/29/2018 - Non-Variable Insurance - sells: life, health, disability, fixed annuities, and LTC - inv rel - at reported business location(s) - start: 11/2016 - 5 hr/mth 3) 12/01/2022 - E4 Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Broker - Start Date - 11/30/2022 - 8 Hours Per Month/8 Hours During Securities Trading 4) 3/9/2023 - National Judicial College - Not Investment Related - Reno, NV 8955 - Other - Adjunct College Faculty Member - Adjunct faculty member with the National Judicial College - Start Date - 02/20/2023 - 2 Hours Per Month/1 Hours Durong Securities Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-05-23
  • S63 Uniform Securities Agent State Law Examination
    2016-05-23
Designations
Other Names
  • Jim Platania

View on SEC IAPD

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