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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2022-05-18
  • GA RA
    APPROVED
    Since 2022-05-18

Branch Locations

Cumming, GA • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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
Cuna Mutual Group Waverly IA 07/2003 05/2022
Cuna Brokerage Services, Inc. Waverly IA 07/2003 05/2022
Lpl Financial Llc Cumming TN 05/2022 Present
  • 07/2003 → 05/2022
    Cuna Mutual Group
    Waverly, IA
  • 07/2003 → 05/2022
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 05/2022 → Present
    Cumming, TN
Previous Registrations
  • 2010-07-28 → 2022-05-18
    Cuna Brokerage Services, Inc.
    Madison, WI
    Sugar Hill, GA
    Clearwater, FL
    Duluth, GA
    Duluth, GA
    Lilburn, GA
    Cumming, GA
    Brandon, MS
Other Businesses

1. 05/18/2022 - Cuna Mutual Group - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Regional Program Manager/Advisor Manager - Start Date: 07/2003 - 160 Hours Per Month/160 Hours During Securities Trading. 2. 05/18/2022 - No Business Name - Investment Related - Burlingame, KS 66413 - Real Estate Rental - Co-owner - Start Date: 03/2000 - 1 Hour Per Month/0 Hours During Securities Trading. 3. 05/04/2023 - TruStage Wealth Management Consulting Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 5/23/2023

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-03-23
S63 Uniform Securities Agent State Law Examination 1983-11-03
  • S66 Uniform Combined State Law Examination
    2010-03-23
  • S63 Uniform Securities Agent State Law Examination
    1983-11-03

View on SEC IAPD

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