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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2026-05-14
DE RA APPROVED 2022-11-29
TX RA APPROVED 2022-11-29
  • PA RA
    APPROVED
    Since 2026-05-14
  • DE RA
    APPROVED
    Since 2022-11-29
  • TX RA
    APPROVED
    Since 2022-11-29

Branch Locations

Chester, PA • United States

5818 Kennett Pike, Wilmington, DE 19807 • 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
Financial House Wilmington DE 11/1999 Present
Lincoln Financial Securities Corporation Wilmington DE 07/2008 11/2022
Lpl Financial Llc Wilmington DE 11/2022 Present
  • 11/1999 → Present
    Financial House
    Wilmington, DE
  • 07/2008 → 11/2022
    Lincoln Financial Securities Corporation
    Wilmington, DE
  • 11/2022 → Present
    Wilmington, DE
Previous Registrations
  • 2012-09-07 → 2022-12-01
    Osaic Fs, Inc.
    Wilmington, DE
    Wilmington, DE
    North Palm Beach, FL
  • 2000-08-25 → 2016-12-22
    Independent Advisers Group Corp
    Wilmington, DE
  • 2003-04-02 → 2013-12-31
    Financial House, Inc.
    Wilmington, DE
Other Businesses

1) 11/29/2022 - Financial House- DBA for LPL Business (entity for LPL business)- inv. related- Wilmington, DE 2) 11/29/2022 - Certified Consultants inc.- Tax Prep/Accounting/CPA- owner- inv. related- 5818 Kennett Pike Wilmington, DE - start date 1/1/1990- 40hrs/mth 3) 11/29/2022- CFC Inc.- Business Entity For Tax/Investment Purposes Only- owner- non-inv. related- Wilmington, DE- start date 1/1/2005- 4) 11/29/2022- Road 9 LLC- Real Estate Rental- part owner/member /partner- inv. related- Centreville DE 19807-start date 1/1/2005- 10hrs/mth 5) 11/29/2022- Gavin Griesemer- Real Estate Rental- partner - non- inv. related- West Chester, PA 19382 - start date 1/1/1985- 5hrs/mth 6) 11/29/2022 - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 06/01/1982 - 40 Hours Per Month/ 2 Hours During Trading 7) 05/31/2024 - Financial House Advisors, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/01/2024 - 10 Hours Per Month/ 8 Hours During Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-03-11
  • S63 Uniform Securities Agent State Law Examination
    1985-03-11
Designations

View on SEC IAPD

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