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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2014-11-10
  • WI RA
    APPROVED
    Since 2014-11-10

Branch Locations

2615 Westview Ct., Cross Plains, WI 53528 • United States

1030 Mills St, Black Earth, WI 53515 • United States

1740 Springdale Street, Mt. Horeb, WI 53572 • United States

Barneveld, WI • 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
Lpl Financial, Llc Cross Plains WI 11/2014 Present
State Bank Of Cross Plains Cross Plains WI 10/2014 Present
Sandman Music Agency Madison WI 01/2014 Present
  • 11/2014 → Present
    Cross Plains, WI
  • 10/2014 → Present
    State Bank Of Cross Plains
    Cross Plains, WI
  • 01/2014 → Present
    Sandman Music Agency
    Madison, WI
Previous Registrations
  • 2014-10-06 → 2014-10-14
    Bmo Harris Financial Advisors, Inc.
    Monona, WI
    Brookfield, WI
Other Businesses

1. 11/10/2014-SB FINANCIAL SERVICES/DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/CROSS PLAINS,WI 2. 11/10/2014-SANDMAN MUSIC AGENCY/MUSICIAL/NON-INVESTMENT RELATED/PLAYS DRUMS IN A BAND 1-2 TIMES PER MONTH/3560 BRECKENRIDGE COURT APT 12 FITCHBURG, WI 53713/START DATE: 1/1/14 10 HOURS PER MONTH/0 HOURS DURING TRADING HOURS/. 3. 2/25/2019 - Ash Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/18/2019 - 20 Hours Per Month/1 Hour During Securities Trading. 4. 11/29/2019 - State Bank of Cross Plains - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Trust Officer - Started 11/21/2019 - 3 Hours Per Month/1 Hour During Securities Trading - Refer potential client to bank trust department as an indirect result of my primary responsibilities of registered representative. 5. 10/20/2022 - Lake Ridge Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/03/2022 - 160 Hours Per Month/120 Hours During Securities Trading. 6) 06/09/2025 - Lake Ridge Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date:05/28/2025 - 2 Hrs/Mth - 2 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-10-06
  • S66 Uniform Combined State Law Examination
    2014-10-06

View on SEC IAPD

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