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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-26 |
| WI | RA | APPROVED | 2021-03-24 |
Branch Locations
395 N Executive Dr, Brookfield, WI 53005 • United States
Milwaukee, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mass Mutual | Waukesha | WI | 11/2011 | 07/2018 |
| Mml Investors Services | Waukesha | WI | 12/2012 | 07/2018 |
| Hb Wealth Management, Llc | Waukesha | WI | 11/2011 | 03/2019 |
| Waddell & Reed, Inc. | Waukesha | WI | 07/2018 | 04/2019 |
| Rick Boyd | Waukesha | WI | 07/2018 | 03/2019 |
| Various Insurance Carriers For W & R Insurance Agencies | Milwaukee | WI | 07/2018 | 04/2019 |
| Bmo Harris Financial Advisors, Inc. | Brookfield | WI | 07/2019 | Present |
| Unemployed | Milwaukee | WI | 04/2019 | 07/2019 |
| Lpl Financial Llc | Brookfield | WI | 03/2021 | Present |
1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - BROOKFIELD, WI
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-07-19 |
| S66 | Uniform Combined State Law Examination | 2013-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 1990-07-06 |
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