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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2015-05-26
  • FL RA
    APPROVED
    Since 2015-05-26

Branch Locations

Naples, FL • 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 Naples FL 05/2015 Present
Previous Registrations
Other Businesses

1. 05/21/2015: Crump Life Insurance Services - Non-Variable Insurance - INV REL - 4135 N Front Street, Harrisburg, PA 17110 - Start 05/01/2012 - 5% Time Spent 2. 05/21/2015: Bruce Graev Financial Associates - DBA for LPL Business (entity for LPL business) - INV REL - 467 Nassau Court, Marco Island, FL 34145 - Start 01/03/2013 - 75% Time Spent 3. 05/21/2015: CPE Licensed Presenter - Other - Teacher/Instructor - Investment Related - At Reported Business Location(s) - Start 06/01/2012 - 2% Time Spent 4. 05/21/2015: Bruce Graev & Associates, LLC - Business Entity For Tax/Investment Purposes Only - INV REL - 456 Nassau Court, Marco Island, FL 34145 - Start 01/03/2013 - 1% Time Spent 5. 05/21/2015: Get Out Alive - Author - NOT INV REL - 467 Nassau Court, Marco Island, FL 34145 - Start 08/01/2012 - 5% Time Spent 6. 05/25/2016: The Guardian Insurance Company of America - Non-Variable Insurance - INV REL - 467 Nassau Court, Marco Island, FL 34145 - Start 05/15/2016 - 10 Hr/Mo; 10 Hours During Securities Trading - INS Types: Life, Disability, LTC 7. 08/18/2016: Bruce Graev Financial Associates - Speaker/Seminar - INV REL - Brio 5505 Tamiami Trail North, Naples, FL 34108 - Start 08/09/2016 - 3 Hr/Mo; 0 Hours During Securities Trading - seminars for business owners. 8. 03/04/2019 - Simplicity Life - Investment related - At reported business location(s) - Non-Variable Insurance - start date:03/15/2019 - 10 hrs/mo - 10 hrs during trading. 9. 1/24/2020 - Lion Street Financial, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 02/01/2020 - 5 Hours Per Month/2 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-12-29
  • S66 Uniform Combined State Law Examination
    1999-12-29
Designations

View on SEC IAPD

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