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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 2021-04-07
PA RA APPROVED 2018-07-09
  • TX RA
    APPROVED_RES
    Since 2021-04-07
  • PA RA
    APPROVED
    Since 2018-07-09

Branch Locations

800 State Street, Suite 400, Erie, PA 16501 • United States

800 State Street, Suite 100, Erie, PA 16501 • 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
Citizens Securities, Inc. Mercer PA 04/2016 02/2017
Pnc Investments, Llc Warren PA 02/2017 06/2018
Lpl Financial Llc Erie PA 07/2018 Present
Northwest Bank Erie PA 07/2018 Present
Previous Registrations
  • 2017-03-21 → 2018-06-22
    Warren, PA
    North Warren, PA
    Bradford, PA
    Youngsville, PA
  • 2015-04-22 → 2017-02-13
    Erie, PA
    Erie, PA
    Slippery Rock, PA
    Grove City, PA
    Mercer, PA
    New Castle, PA
    Monroeville, PA
Other Businesses

1. 07/05/2018 - The Unhandy Handy Man - Wood Crafting furniture, home decor, etc - Business Owner - non-inv rel - out of residential location - start: 01/2015 - 10 hr/mth. 2. 10/4/2019 - Integrated Financial Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 07/02/2018 - 1 Hour Per Month During Securities Trading. 3. 10/4/2019 - BSMG - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 07/02/2018 - 1 Hour Per Month During Securities Trading. 4. 2/11/2020 - Northwest Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/01/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 5. 5/12/2021 - Northwest Bank - Not Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 5/11/2021 - 5 Hours Per Month/0 Hours During Securities Trading - Referring to bank partners. 6. 11/2/2021 - No Business Name - Investment Related - Erie PA 16508 - Real Estate Rental - Started 03/08/2021 - 1 Hour Per Month/0 Hours During Securities Trading - Bought a duplex this year and live in one side and rent the other out to my in laws.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-04-21
S63 Uniform Securities Agent State Law Examination 2013-04-11
  • S65 Uniform Investment Adviser Law Examination
    2015-04-21
  • S63 Uniform Securities Agent State Law Examination
    2013-04-11
Designations

View on SEC IAPD

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