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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-08-24
WI RA APPROVED 2026-08-24
  • TX RA
    APPROVED
    Since 2026-08-24
  • WI RA
    APPROVED
    Since 2026-08-24

Branch Locations

524 E Green Bay Ave,, Saukville, WI 53080 • United States

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

524 E Green Bay Ave, Saukville, WI 53080 • 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
Edward Jones St Louis MO 06/2013 08/2026
Lpl Financial Llc Saukville WI 08/2026 Present
Previous Registrations
  • 2013-08-29 → 2026-08-25
    Mequon, WI
    Tempe, AZ
    Saukville, WI
    Tempe, AZ
Other Businesses

1. 08/2026 - Plott Capital Management - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - 160 Hrs/Mth - 130 Hrs During Trading - OBA start date: 8/24/2026

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-10
  • S66 Uniform Combined State Law Examination
    2013-08-10

View on SEC IAPD

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