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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2019-02-08
  • MI RA
    APPROVED
    Since 2019-02-08

Branch Locations

7 West Square Lake Road, Bloomfield Hills, MI 48302 • United States

Iic

7 West Square Lake Road, Bloomfield Hills, MI 48302 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2019-02-04
  • MI RA
    APPROVED
    Since 2019-02-04

Branch Locations

7 West Square Lake Road, Bloomfield Hills, MI 48302 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Huntington Investment Company Columbus OH 04/2016 04/2018
Citizens Securities, Inc. Taylor MI 04/2018 01/2019
Institutional Investment Consulting (Iic) Bloomfield Hills MI 02/2019 Present
Lpl Financial, Llc Bloomfield Hills MI 02/2019 11/2020
Lpl Financial Bloomfield Hills MI 11/2020 Present
Previous Registrations
  • 2018-04-25 → 2019-02-01
    Detroit, MI
    Taylor, MI
    Trenton, MI
    Dearborn, MI
    Trenton, MI
    Detroit, MI
    Westland, MI
    Taylor, MI
    Lincoln Park, MI
    Taylor, MI
    Toledo, OH
  • 2016-05-05 → 2018-05-04
    Dearborn, MI
  • 2015-03-24 → 2016-04-11
    Taylor, MI
    Belleville, MI
    Westland, MI
    Dearborn, MI
    Dearborn, MI
  • 2011-09-13 → 2015-03-17
    Wyandotte, MI
  • 2010-11-30 → 2011-09-12
    Southgate, MI
    Fort Mill, SC
  • 2009-03-03 → 2010-11-30
    Nrp Advisors, Inc.
    Southgate, MI
    Bryan, OH
  • 2004-09-27 → 2009-02-06
    Comerica Securities
    Detroit, MI
    Detroit, MI
    Detroit, MI
Other Businesses

1. 3/13/2019 - Institutional Investment Consulting - DBA: (FP) Institutional Investment Consulting (IIC) - Investment Related - At Reported Business Location(s) - IAR - Started 02/2019 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide financial planning and consulting services through IIC, an independent investment advisor firm. I started this business activity in 02/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 2. 3/27/2019 - Institutional Investment Consulting - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/28/2019 - 160 Hours Per Month/8 Hours During Securities Trading. 3. 4/16/2019 - Kratero Consulting LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 02/22/2019 - 5 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-24
S63 Uniform Securities Agent State Law Examination 1985-05-22
  • S66 Uniform Combined State Law Examination
    2004-09-24
  • S63 Uniform Securities Agent State Law Examination
    1985-05-22

View on SEC IAPD

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