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Current Employers
Lasalle St. Investment Advisors, L.L.C.

940 N. Industrial Dr., Elmhurst, IL 60126-1131 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2024-06-26
  • IN RA
    APPROVED
    Since 2024-06-26

Branch Locations

1213 E. Hoffer St, Kokomo, IN 46902 • 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
Lasalle St. Securities, L.L.C. Elmhurst IL 12/2002 Present
Liberty Financial Advisors, Llc Kokomo IN 11/2006 Present
  • 12/2002 → Present
    Lasalle St. Securities, L.L.C.
    Elmhurst, IL
  • 11/2006 → Present
    Liberty Financial Advisors, Llc
    Kokomo, IN
Previous Registrations
  • 2007-01-04 → 2024-06-26
    Liberty Financial Advisors, Llc
    Kokomo, IN
Other Businesses

CRIAG DUNN ENTERPRISES, INC.- A SUB S. CORP. THIS COMPANY IS USED TO OPERATE AND MANAGE INCOME FROM OTHER BUSINESSES; FIXED INSURANCE; Liberty Financial Group, Inc. Elevate Carmel (Chairman) - Helps advocate for policy for the Carmel, IN municipality area.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-08-25
S63 Uniform Securities Agent State Law Examination 1982-10-08
  • S65 Uniform Investment Adviser Law Examination
    2006-08-25
  • S63 Uniform Securities Agent State Law Examination
    1982-10-08

View on SEC IAPD

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