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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-03 |
| IL | RA | APPROVED | 2020-03-09 |
Branch Locations
2651 Warrenville Road Ste 200, Downers Grove, IL 60515 • United States
Naperville, IL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Naperville | IL | 11/2001 | 10/2017 |
| Securities America, Inc. | Naperville | IL | 10/2017 | 10/2019 |
| Securities America Advisors | Naperville | IL | 10/2017 | 10/2019 |
| Securities America Advisors, Inc. | La Vista | NE | 10/2017 | 10/2019 |
| Lpl Financial Llc | Downers Grove | IL | 10/2019 | Present |
1) 10/2019 - DBA for LPL Business (entity for LPL business) - Professional Wealth Advisors - Investment Related - Plainfield, IL 2) 10/2019 - DBA for LPL Business (entity for LPL business) - PWA - Investment Related - Plainfield, IL 3) 10/2019 - DBA for LPL Business (entity for LPL business) - RETIREMENT ADVISORS, INC - Investment Related - Plainfield, IL 4) 4/2014 - Business Entity for Tax Purposes - GLOBAL WEALTH PARTNERS, INC - Investment Related - 1337 Deerpath Circle, Aurora, IL 60506 5) 10/2017 - Non-Variable Insurance - Kenneth Small - Investment Related - Plainfield, IL 6) 10/15/2021 - Capitas Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 10/05/2021 - 4 Hours Per Month During Securities Trading - Non-variable life insurance sales. Fixed annuities and life. Occasional business to be placed through Capitas Financial or carrier direct.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1989-02-27 |
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