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Alicia Rose Roennow

LPl Financial LLC

Carmel, IN

South Bend, IN

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2018-09-07
  • IN RA
    APPROVED
    Since 2018-09-07

Branch Locations

10570 N Michigan Rd, Carmel, IN 46032 • United States

100 N. Michigan Street, South Bend, IN 46601 • 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
Securian Financial Services, Inc St Paul MN 12/2013 04/2018
Healy Group South Bend IN 11/2011 04/2018
Lpl Financial Llc South Bend IN 05/2018 Present
1St Source Bank South Bend IN 05/2018 Present
  • 12/2013 → 04/2018
    Securian Financial Services, Inc
    St Paul, MN
  • 11/2011 → 04/2018
    Healy Group
    South Bend, IN
  • 05/2018 → Present
    Lpl Financial Llc
    South Bend, IN
  • 05/2018 → Present
    1St Source Bank
    South Bend, IN
Other Businesses

1)5/11/18- 1st Source Asset Advisors- DBA for LPL Business (entity for LPL business)- Inv. Related - at reported business location(s)- 100% 2) 12/30/2019 - 1st Source Asset Advisors - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Started 04/01/2019 - 1 Hour Per Month During Securities Trading - Bank issued Signature Guarantee stamp.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-09-07
S63 Uniform Securities Agent State Law Examination 2014-02-25
  • S65 Uniform Investment Adviser Law Examination
    2018-09-07
  • S63 Uniform Securities Agent State Law Examination
    2014-02-25
Other Names
  • Alicia R Mclaughlin
  • Alicia Rose Mclaughlin

View on SEC IAPD

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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
WILLIAMSON LEGACY GROUP, LLC
ARCHER INVESTMENT CORPORATION

Other Investors

ADAM TREVOR BUNDAY
GARY MICHAEL BRIDWELL
DAKOTA A BUNDAY
CHRISTOPHER JOHN ROUTT
DAVID STEWART LANE WEIR
CATHERINE HARSTICK
BRYAN DAVID KLEMM
TODD ALAN BIEBERICH

Other Offices

VALIC FINANCIAL ADVISORS, INC. · CARMEL, IN
OPPENHEIMER ASSET MANAGEMENT · CARMEL, IN
ONEAMERICA SECURITIES, INC. · CARMEL, IN
LPL FINANCIAL LLC · CARMEL, IN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Carmel, IN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · CARMEL, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Carmel, IN
WILLIAMSON LEGACY GROUP, LLC · Carmel, IN

More in Carmel, IN

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