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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-03-18
  • TX RA
    APPROVED_RES
    Since 2014-03-18

Branch Locations

1511 Northern Pacific Rd Suite 106, Brainerd, MN 56401-2687 • United States

416 S 6Th St Ste 200, Brainerd, MN 56401 • United States

Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2014-01-31
  • MN RA
    APPROVED
    Since 2014-01-31

Branch Locations

1511 Northern Pacific Rd., Suite 106, Brainerd, MN 56401 • United States

305 Madison Avenue, Morristown, NJ 07960 • United States

416 S 6Th Street, Ste 200, Brainerd, MN 56401 • 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
Bruce Johnson & Associates Brainerd MN 12/1991 Present
Lpl Financial Llc Brainerd MN 01/2012 Present
Private Advisor Group, Llc Brainerd MN 12/2013 Present
Other Businesses

1. 01/03/12 - BRUCE JOHNSON & ASSOCIATES/ CPA AFFILIATE PROGRAM/ 100% OF TIME/ BRAINERD, MN 2. 04/01/2016 * Private Advisor Group * Registered Investment Advisor Hybrid * (Hybrid) Private Advisor Group * INV REL * AT REPORTED BUSINESS LOCATION(S) * I provide the following advisory services: Act as Solicitor I am compensated for my advisory services by Solicitor/Referral Fees * START 05/11/2015 * 1 HR/MO DURING SECS TRDG HRS. 3. 04/01/2016 * Private Advisor Group * Registered Investment Advisor Hybrid * (Hybrid) B. Johnson & Assoc.* INV REL * AT REPORTED BUSINESS LOCATION(S) * I provide the following advisory services: Act as Solicitor I am compensated for my advisory services by Solicitor/Referral Fees * START 05/11/2015 * 1 HR/MO DURING SECS TRDG HRS. 4. 11/21/2018 - Brainerd CPA Holdings - Investment Related - Location Address: N/A - Real Estate Rental - Start Date: 01/01/2006 - 1 Hour Per Month/0 Hours During Securities Trading - Brainerd CPA Holdings is the LLC that I am 1/3 owner in. This is the building we rent to our CPA firm for our CPA office. 5. 12/24/2024- Brainerd CPA Holdings - CPA practice - Not Investment Related - Start Date 01/01/2006 6. 12/24/2024 - 416 S 6th, LLC - Real Estate Rental - Investment Related - Start Date 7-18-22 - 0 hours per month/ during rading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-12-04
  • S63 Uniform Securities Agent State Law Examination
    1998-12-04

View on SEC IAPD

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