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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2023-06-30
  • MI RA
    APPROVED
    Since 2023-06-30

Branch Locations

830 E Front St #300, Traverse City, MI 49686 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

830 E Front St #300, Traverse City, MI 49686 • 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
Vozza Insurance Agency Traverse City MI 03/2010 Present
Drago Construction Services Traverse City MI 11/2004 Present
Sterne Agee Financial Services, Inc. Traverse City MI 09/2014 09/2016
Sterne Agee Investment Advisor Services, Inc. Birmingham AL 01/2015 09/2016
Sigma Financial Corporation Ann Arbor MI 09/2016 06/2023
Spc Ann Arbor MI 09/2016 06/2023
Lpl Financial Llc Traverse City MI 06/2023 Present
  • 03/2010 → Present
    Vozza Insurance Agency
    Traverse City, MI
  • 11/2004 → Present
    Drago Construction Services
    Traverse City, MI
  • 09/2014 → 09/2016
    Sterne Agee Financial Services, Inc.
    Traverse City, MI
  • 01/2015 → 09/2016
    Sterne Agee Investment Advisor Services, Inc.
    Birmingham, AL
  • 09/2016 → 06/2023
    Sigma Financial Corporation
    Ann Arbor, MI
  • 09/2016 → 06/2023
    Ann Arbor, MI
  • 06/2023 → Present
    Traverse City, MI
Previous Registrations
  • 2016-09-28 → 2023-06-30
    Traverse City, MI
    Ann Arbor, MI
  • 2015-01-30 → 2016-09-13
    Birmingham, AL
  • 2014-06-11 → 2015-01-30
    Wrp Investments, Inc.
    Traverse City, MI
    Youngstown, OH
Other Businesses

1. 06/30/2023 - VIA Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 07/24/2023 - Drago Construction Services LLC - Not Investment Related - Home Based - BUSINESS OWNER - President and contractor - Start Date 11/01/2004 - 5 Hours Per Month - Time Spent 5% 3. 07/24/2023 - Vozza Insurance Agency LLC - Investment Related - At Reported Business Location(s) - Insurance Agency - President and Producer - Start Date 02/01/2010 - 80 Hours Per Month/ 4 Hours During Trading - Time Spent 45%

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-09
  • S66 Uniform Combined State Law Examination
    2014-06-09

View on SEC IAPD

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