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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-05-18
  • IL RA
    APPROVED
    Since 2022-05-18

Branch Locations

950 E Rand Rd, Arlington Heights, IL 60004 • United States

1334 Shermer Rd, Northbrook, IL 60062 • United States

20413 N Rand Rd, Suite 106, Kildeer, IL 60074 • 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
Securities America Inc. La Vista NE 07/2009 03/2018
Securities America Advisors, Inc. Arlington Heights IL 07/2009 03/2018
Cuna Brokerage Services, Inc. Waverly IA 03/2018 Present
Cuna Mutual Group Waverly IA 03/2018 Present
Lpl Financial Llc Gurnee IL 05/2022 Present
  • 07/2009 → 03/2018
    Securities America Inc.
    La Vista, NE
  • 07/2009 → 03/2018
    Securities America Advisors, Inc.
    Arlington Heights, IL
  • 03/2018 → Present
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 03/2018 → Present
    Cuna Mutual Group
    Waverly, IA
  • 05/2022 → Present
    Gurnee, IL
Previous Registrations
  • 2018-03-28 → 2022-05-18
    Cuna Brokerage Services, Inc.
    Gurnee, IL
    Palatine, IL
  • 2009-07-10 → 2018-03-16
    Securities America Advisors, Inc.
    Arlington Heights, IL
    Naperville, IL
    Palatine, IL
  • 2006-05-22 → 2009-07-09
    Cetera Wealth Services, Llc
    Arlington Heights, IL
    Naperville, IL
    Warrenville, IL
    Naperville, IL
    Hoffman Estates, IL
    Crystal Lake, IL
Other Businesses

1. 05/20/2022 - Consumers Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 0 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-04-24
  • S66 Uniform Combined State Law Examination
    2006-04-24

View on SEC IAPD

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