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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2020-02-25
  • NE RA
    APPROVED
    Since 2020-02-25

Branch Locations

916 North Main St., Henderson, NE 68371 • United States

840 North Diers Avenue, Grand Island, NE 68803 • United States

211 Rock Bluff Road., Plattsmouth, NE 68048 • United States

1206 13Th Street, Aurora, NE 68818 • United States

529 Lincoln Ave, York, NE 68467 • United States

400 Main Street, Stromsburg, NE 68666 • United States

311 N 13Th Street, Geneva, NE 68361 • United States

1727 23Rd Street, Columbus, NE 68601 • 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
Securities America, Inc. York NE 04/2017 02/2020
Global View Chicago IL 04/2013 03/2017
Securities America Advisors York NE 06/2017 02/2020
Lpl Financial Llc York NE 02/2020 Present
Cornerstone Bank York NE 03/2017 Present
  • 04/2017 → 02/2020
    Securities America, Inc.
    York, NE
  • 04/2013 → 03/2017
    Global View
    Chicago, IL
  • 06/2017 → 02/2020
    Securities America Advisors
    York, NE
  • 02/2020 → Present
    York, NE
  • 03/2017 → Present
    Cornerstone Bank
    York, NE
Previous Registrations
  • 2017-06-19 → 2020-02-24
    Securities America Advisors, Inc.
    York, NE
Other Businesses

1)2/24/20- Cornerstone Investments- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)-100% 2)2/24/20- Cornerstone Insurance Group- Non-Variable Insurance- Agent for LTC, fixed annuities- Inv. Related- York, NE - start date 9/11/2017- 3hrs/mth - 5% 3) 05/01/2023 - No Business Name - Investment Related - Exeter, NE - Real Estate Rental - Owner - Start Date 04/01/2023 - 1 Hours Per Month/0 Hours During Securities Trading 4) 05/08/2023 - Cornerstone Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Vice President - Start Date 05/01/2023 - 155 Hours Per Month/7 Hours During Securities Trading 5) 01/10/20224 - No Business Name - Inv related - York, BE - Real Estate Rental - Started: 4/1/2023 - 1 Hr/Mo; 0 Hr During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-06-10
  • S66 Uniform Combined State Law Examination
    2017-06-10
Other Names
  • Charlie Trauger
  • Chuck Trauger

View on SEC IAPD

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