Inactive

Niki Wheeles

LPl Financial LLC

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Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2023-03-13

MD RA
APPROVED

Since 2023-03-13

Branch Locations

6701 Democracy Blvd, Suite 300 Offices 362 & 365, Bethesda, MD 20817 • United States

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

Organization	City	State	From	To
Lpl Financial Llc	Bethesda	MD	05/2022	Present
Edelman Financial Engines	Bethesda	MD	10/2020	05/2022
Midatlantic Ira, Llc	Frederick	MD	01/2018	07/2020
Barnstorming Designs	Frederick	MD	04/2017	01/2018
Ferguson Enterprises Inc.	Halethorpe	MD	05/2016	04/2017
Unemployed	Frederick	MD	07/2020	10/2020

05/2022 → Present

Lpl Financial Llc

Bethesda, MD
10/2020 → 05/2022

Edelman Financial Engines

Bethesda, MD
01/2018 → 07/2020

Midatlantic Ira, Llc

Frederick, MD
04/2017 → 01/2018

Barnstorming Designs

Frederick, MD
05/2016 → 04/2017

Ferguson Enterprises Inc.

Halethorpe, MD
07/2020 → 10/2020

Unemployed

Frederick, MD

Other Businesses

1) 10/2022- Outside/W-2 Employment- Metro Volleyball Club of D.C.- Part Time Assistant Coach- Monrovia, MD- start dat e 11/2022- 40hrs/mth

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-03-13

S65 Uniform Investment Adviser Law Examination

2023-03-13

View on SEC IAPD

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