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Jose A Lopez Maldonado

LPl Financial LLC

Brookfield, WI

Wauconda, IL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-03-24
  • IL RA
    APPROVED
    Since 2021-03-24

Branch Locations

395 N Executive Dr, Brookfield, WI 53005 • United States

Wauconda, IL • 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
Bmo Harris Financial Advisors Buffalo Grove IL 09/2016 08/2019
Bmo Harris Bank Libertyville IL 10/2014 09/2016
Bmo Harris Financial Advisors Chicago IL 08/2019 Present
Lpl Financial Llc Naperville IL 03/2021 Present
  • 09/2016 → 08/2019
    Bmo Harris Financial Advisors
    Buffalo Grove, IL
  • 10/2014 → 09/2016
    Bmo Harris Bank
    Libertyville, IL
  • 08/2019 → Present
    Bmo Harris Financial Advisors
    Chicago, IL
  • 03/2021 → Present
    Lpl Financial Llc
    Naperville, IL
Previous Registrations
  • 2017-02-24 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Buffalo Grove, IL
    Chicago, IL
Other Businesses

1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - Investment Related - CHICAGO, IL

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-23
  • S66 Uniform Combined State Law Examination
    2017-02-23

View on SEC IAPD

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Other Investors

DEANNE E PHILLIPS
MATTHEW ROSS KRENKE
Eric Gustav Strom
Thomas James Berkholtz
Heather Christine Shutta
Jeffrey Lynn Stanich
Clayton Joel Beilfuss
Logan Alexander Kepler

Other Offices

ANNEX WEALTH MANAGEMENT, LLC · BROOKFIELD, WI
RBC CAPITAL MARKETS, LLC · BROOKFIELD, WI
MARINER · BROOKFIELD, WI
M HOLDINGS SECURITIES, INC. · Brookfield, WI
STATE FARM INVESTMENT MANAGEMENT CORP. · Brookfield, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Brookfield, WI
ENTASIS ASSET MANAGEMENT LLC · Brookfield, WI
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · BROOKFIELD, WI

More in Brookfield, WI

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