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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-02-10
AZ RA APPROVED 2017-07-06
ID RA APPROVED 1992-01-29
  • TX RA
    APPROVED
    Since 2020-02-10
  • AZ RA
    APPROVED
    Since 2017-07-06
  • ID RA
    APPROVED
    Since 1992-01-29

Branch Locations

West 87 - Sargent Drive, Hayden Lake, ID 83835 • United States

Oro Valley, AZ • 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
Lpl Financial, Llc Hayden Lake ID 12/1991 Present
Other Businesses

1. 6/22/2007 - NO BUSINESS NAME - NOTARY - NOT INV. REL. - AT REPORTED BUSINESS LOCATION(S) - IDAHO NOTARY PUBLIC -- IN ORDER TO NOTARIZE AS A FREE SERVICE TO ONLY OUR CLIENTS. - 1% TIME SPENT 2. 3/16/2009 - INVESTORS CAPITAL MANAGEMENT, INC. - Business Entity For Tax/Investment Purposes Only - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - CHANGING DBA FROM MARKETING TO TAX PURPOSES ONLY --WILL NOT USE FOR MARKETING TO THE PUBLIC. - NO TIME SPENT 3. 6/21/2019 - TC DEVELOPMENTS LLC - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Started 06/17/2019 - 2 Hours Per Month/0 Hours During Securities Trading - Bookkeeping for son and his 1 business. 4. 6/21/2019 - CJ2 PROPERTY CONSULTANT LLC - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Started 06/17/2019 - 2 Hours Per Month/0 Hours During Securities Trading - Bookkeeping for family members only. 5. 04/26/2024 - Jerde Properties LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Home Based - Start Date 12/21/2021 - 0 Hours Per Month/ During Trading 6. 04/26/2024 - Other - Notary Public - State of Idaho - Notary - Not Investment Related - At Reported Business Location(s) - Start Date 03/04/2024 - 1 Hour Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-10-03
S63 Uniform Securities Agent State Law Examination 1983-11-01
  • S65 Uniform Investment Adviser Law Examination
    1992-10-03
  • S63 Uniform Securities Agent State Law Examination
    1983-11-01
Designations

View on SEC IAPD

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