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Preston Walter Zale

LPl Financial LLC

Troy, MI

Oakland, MI

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-01-07
MI RA APPROVED 2010-12-17
  • TX RA
    APPROVED_RES
    Since 2011-01-07
  • MI RA
    APPROVED
    Since 2010-12-17

Branch Locations

2050 Livernois Rd Ste B, Troy, MI 48083-1757 • United States

Oakland, MI • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Troy MI 12/2010 Present
Previous Registrations
Other Businesses

1. 1/31/2011: ZALE GROUP - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - TROY, MI. 2. 8/7/2015: POPZ BEEZ - NOT INVESTMENT RELATED - 3442 AQUARIOUS CIR, OAKLAND, MI 48363 - OTHER-BUSINESS OWNER - STARTED 08/01/15 - 20 HOURS PER MONTH/0 HOURS DURING SECURITIES TRADING - BEEKEEPING AND HONEY SALES. 3. 03/14/2022 - Southeastern Michigan Beekeeping Association - Not Investment Related - 1219 E Square Lake Rd Bloomfield Hills, MI 48304 - Outside/W-2 Employment - Teacher - Start Date - 03/27/2022 - 4 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-12-15
S63 Uniform Securities Agent State Law Examination 1986-10-13
  • S65 Uniform Investment Adviser Law Examination
    1992-12-15
  • S63 Uniform Securities Agent State Law Examination
    1986-10-13

View on SEC IAPD

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