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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2012-07-09
  • IL RA
    APPROVED
    Since 2012-07-09

Branch Locations

600 Hillgrove Ave # 2, Western Springs, IL 60558 • United States

Western Springs, IL • 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 Western Springs IL 07/2012 Present
Previous Registrations
  • 2007-04-27 → 2012-07-10
    Chicago, IL
    La Grange Park, IL
    St Louis, MO
    Brookfield, IL
Other Businesses

(1) 06/19/2012: McNeily and Company - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 07/30/2021 - Stone House Investors LLC - Not Investment Related - 1005 Westmoor Rd. Winnetka, IL 60093 - Business Entity For Tax/Investment Purposes Only - Start Date: 08/02/2021 - This is just an LLC for investment purposes into Posterity Health, Inc. through the LLC. The investment is convertible debt.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-20
S63 Uniform Securities Agent State Law Examination 2006-08-04
  • S66 Uniform Combined State Law Examination
    2007-04-20
  • S63 Uniform Securities Agent State Law Examination
    2006-08-04

View on SEC IAPD

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