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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-03-18
IA RA APPROVED 2020-05-12
  • TX RA
    APPROVED
    Since 2021-03-18
  • IA RA
    APPROVED
    Since 2020-05-12

Branch Locations

3600 1St Avenue Ne, Suite 100, Cedar Rapids, IA 52402 • 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
Carpenters Local 308 Cedar Rapids IA 04/2015 03/2020
Lpl Financial Llc Cedar Rapids IA 03/2020 Present
  • 04/2015 → 03/2020
    Carpenters Local 308
    Cedar Rapids, IA
  • 03/2020 → Present
    Cedar Rapids, IA
Previous Registrations
Other Businesses

1)04/28/2020 - Premier Investments of Iowa - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 03/2020 2) 1/29/2021 - Premier Financial Companies - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/09/2020 - 60 Hours Per Month During Securities Trading - Life and health. 3) 04/29/2022 - College Football Officials Organization - Not Investment Related - College football fields throughout the United States - Outside/W-2 Employment - Football Official - Start Date: 08/02/2021 - 15 Hours Per Month/3 Hours During Securities Trading. 4) 04/29/2022 - No Business Name - Not Investment Related - High school football fields in Iowa - Outside/W-2 Employment - Football Official for the IAHSAA - Start Date: 08/28/2020 - 15 Hours Per Month/3 Hours During Securities Trading. 5) 2/10/2023 - Premier Investments and Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 01/19/2023 - 160 Hours Per Month/8 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-11
S65 Uniform Investment Adviser Law Examination 2014-03-24
S63 Uniform Securities Agent State Law Examination 2014-03-11
  • S66 Uniform Combined State Law Examination
    2020-05-11
  • S65 Uniform Investment Adviser Law Examination
    2014-03-24
  • S63 Uniform Securities Agent State Law Examination
    2014-03-11

View on SEC IAPD

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