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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2022-07-22
MN RA APPROVED 2013-12-20
TX RA APPROVED 2011-04-26
  • AL RA
    APPROVED
    Since 2022-07-22
  • MN RA
    APPROVED
    Since 2013-12-20
  • TX RA
    APPROVED
    Since 2011-04-26

Branch Locations

4524 Highway 61 N, White Bear Lake, MN 55110 • 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 White Bear Lake MN 02/2010 Present
Other Businesses

1. 02/08/2010: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 30% - Sell fixed life, LTC, disability, and health insurance. 2. 7/27/2010: North Oaks Legal Services, LLC - Other-Legal Services - Time Spent 5% - Facilitate the establishment of wills, powers of attorney, living wills, revocable living trusts, todd's, and other instruments based on client's needs. Legal documents are created by an outside law firm. The law firm will pay a commission. 3. 7/27/2010: North Oaks Financial Services, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 4. 2/28/2010: Mortgage Capital MN, Inc. - Investment Related - Mortgage/Real Estate Services - Time Spent 5% - First and second mortgages for purchases and refinancing. Provided through Mortgage Capital MN. 5. 07/28/2014 - North Oaks Realty, LLC - Investment Related - At Reported Business Location(s) - Other-Real Estate Broker - Started 07/10/2010 - 10 Hours Per Month/4 Hours During Securities Trading 6. 8/27/2014: No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Started 08/26/2014 - 1 Hour Per Month During Securities Trading - Notary public. Do not charge fee. 7. 1/25/2016: No Business Name - Not Investment Related - Various Locations - Other-Speaker - Started 01/15/2016 - 1 Hour Per Month During Securities Trading - Making occasional motivational speeches at churches, colleges, businesses. 8. 3/18/2021 - Gun Club, LLC - Investment Related - 4524 Highway 61 N, White Bear Lake, MN 55110 - Real Estate Rental - Start Date: 04/01/2021 - 5 Hours Per Month During Securities Trading - Entity created own office building. 9. 05/17/2022 - Lake Office, LLC - Not Investment Related - At Reported Business Location(s) - Other - LLC - Start Date - 04/01/2021 - 5 Hours Per Month/ 5 Hours During Securities Trading. 10. 04/18/2023 - North Oaks Realty, LLC - Investment Related - At Reported Business Location(s) - Other - Real Estate Broker - Start Date 07/10/2010 - 10 Hours Per Month/4 Hours During Securities Trading 11. 12/13/2024- North Oaks Wealth Management- DBA for LPL Business (entity for LPL business)- INV Related- At reported business location(s)- Start date 01/10/2025- 1 HR per month

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-04-23
S63 Uniform Securities Agent State Law Examination 1983-06-23
  • S65 Uniform Investment Adviser Law Examination
    2011-04-23
  • S63 Uniform Securities Agent State Law Examination
    1983-06-23
Designations
Other Names
  • Mark Norman Miller
  • Mark Miller

View on SEC IAPD

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