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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2022-01-27 |
| TX | RA | APPROVED | 2020-10-13 |
Branch Locations
119 S Main St Ste 4, Maquoketa, IA 52060 • United States
205 N Michigan Ave Ste 810, Chicago, IL 60601 • United States
2322 E Kimberly Rd. Suite 130S, Davenport, IA 52807 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2014 | 09/2019 |
| Northwestern Mutual Investment Services Llc | Chicago | IL | 02/2015 | 09/2019 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 08/2016 | 09/2019 |
| Lpl Financial Llc | Chicago | IL | 09/2019 | Present |
1) 09/2019 - DBA for LPL Business (entity for LPL business) - WENDELL CHARLES FINANCIAL - 100% - INVESTMENT RELATED - CHICAGO, IL 60606 2) 12/13/2021 - Wendell Charles Insurance Associates - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - President, Insurance Agent - Start Date: 11/19/2021 - 20 Hours Per Month/0 Hours During Securities Trading. 3) 12/06/2022 - Wendell Charles - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/06/2019 - 40 Hours Per Month/40 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 2015-05-27 |
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