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Current Employers
Modern Capital Concepts

Chicago, IL • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2014-07-14
TX RA APPROVED_RES 2014-06-05
  • IL RA
    APPROVED
    Since 2014-07-14
  • TX RA
    APPROVED_RES
    Since 2014-06-05

Branch Locations

Chicago, IL • United States

Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-01-22
IL RA APPROVED 2013-12-19
  • TX RA
    APPROVED_RES
    Since 2014-01-22
  • IL RA
    APPROVED
    Since 2013-12-19

Branch Locations

Chicago, 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 Chicago IL 12/2013 Present
Modern Capital Concepts Chicago IL 12/2013 Present
Previous Registrations
  • 2010-03-22 → 2013-12-24
    Chicago, IL
    Chicago, IL
    St Louis, MO
Other Businesses

(1) 06/05/2014: Modern Capital Concepts - Registered Investment Advisor - DBA: (FP) Modern Capital Concepts - Investment Related - 2055 N. Spaulding Ave., Chicago, IL 60647 - Start 07/01/2014 - 12 Hr/Mo; 0 Hour(s) During Securities Trading - Provide financial planning thru RIA for fix/hourly fee. (2) 10/07/2016: Modern Capital Concepts, Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - 2055 N. Spaulding Ave., Chicago, IL 60647 - Start 06/01/2014 - 40 Hr/Mo; 0 Hour(s) During Securities Trading - This is an RIA for financial planning only. Used by Khloe Karova 3). 03/27/2019 - No business name - Not investment related - At reported business location(s) - Author - start date:04/01/2019 - 10 hrs/mo - 0 hrs during trading. 4). 10/08/2021 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary Public - Start Date: 06/01/2021 - 0 Hours Per Month/0 Hours During Securities Trading. 5). 10/11/2021 - WealthEquity - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/08/2021 - 1 Hour Per Month/1 Hour During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-03-19
  • S66 Uniform Combined State Law Examination
    2010-03-19
Designations
Other Names
  • Nina Marie Pronto

View on SEC IAPD

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