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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 2021-04-24
CA RA APPROVED 2018-02-14
PA RA APPROVED 2018-02-14
  • TX RA
    APPROVED_RES
    Since 2021-04-24
  • CA RA
    APPROVED
    Since 2018-02-14
  • PA RA
    APPROVED
    Since 2018-02-14

Branch Locations

124 S Blakely St, Dunmore, PA 18512 • United States

1625 Wyoming Ave, Exeter, PA 18643 • 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
Invest Financial Corporation Tampa FL 12/2011 02/2018
Community Bank Wilkes Barre PA 12/2011 04/2018
Lpl Financial Llc Dunmore PA 02/2018 Present
Fncb Bank Dunmore PA 04/2018 Present
  • 12/2011 → 02/2018
    Invest Financial Corporation
    Tampa, FL
  • 12/2011 → 04/2018
    Community Bank
    Wilkes Barre, PA
  • 02/2018 → Present
    Dunmore, PA
  • 04/2018 → Present
    Fncb Bank
    Dunmore, PA
Previous Registrations
  • 2011-12-09 → 2018-02-14
    Invest Financial Corporation
    Trucksville, PA
    Scranton, PA
    Dickson City, PA
    Hazleton Township, PA
    Pittson, PA
    Noxen, PA
    Kingston, PA
    Edwardsville, PA
    Wilkes Barre, PA
    Meshoppen, PA
    Montrose, PA
    Laceyville, PA
    Monroe Township, PA
    Shavertown, PA
    Lehighton, PA
    Pittston, PA
    Hazleton, PA
    Lansford, PA
    Hazle Township, PA
    Hazle Township, PA
    Freeland, PA
    Appleton, WI
  • 2009-07-10 → 2011-12-08
    Dallas, PA
    Kingston, PA
    Wilkes-Barre, PA
    Blakeslee Corners, PA
    Brodheadsville, PA
Other Businesses

1. 02/14/2018 - KAFL Insurance Resources - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date: 04/2012 - 5 Hours Per Month - Life. 2. 6/24/2020 - FNCB Wealth Management Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/30/2018 - 160 Hours Per Month During Securities Trading. 3. 11/19/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/05/2021 - 5 Hours Per Month/0 Hours During Securities Trading. 4. 07/18/2022 - 1st Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/21/2022 - 250 Hours Per Month/250 Hours During Securities Trading. 5. 07/09/2024 - Peoples Security Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/01/2024 - 160 Hours Per Month/ During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-26
S63 Uniform Securities Agent State Law Examination 1983-03-14
  • S65 Uniform Investment Adviser Law Examination
    1995-04-26
  • S63 Uniform Securities Agent State Law Examination
    1983-03-14

View on SEC IAPD

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