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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2017-04-17
  • OH RA
    APPROVED
    Since 2017-04-17

Branch Locations

626 Main St, Genoa, OH 43430 • United States

626 Main St, Genoa, OH 43430 • United States

202 N Summit Street, Toledo, OH 43616 • 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
Genoa Financial, Llc Oregon OH 03/2017 Present
Moore Orchards Oak Harbor OH 06/2007 11/2016
Lpl Financial, Llc Oregon OH 03/2017 Present
Genoa Financial, Llc Oregon OH 11/2016 03/2017
  • 03/2017 → Present
    Genoa Financial, Llc
    Oregon, OH
  • 06/2007 → 11/2016
    Moore Orchards
    Oak Harbor, OH
  • 03/2017 → Present
    Oregon, OH
  • 11/2016 → 03/2017
    Genoa Financial, Llc
    Oregon, OH
Other Businesses

1) 02/28/2017 - Genoa Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2) 9/25/2017 - Wholehan Marketing - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/05/2017 - 8 Hours Per Month/1 Hour During Securities Trading - Non variable life (term, whole life, universal life), disability, and LTC insurance. 3) 11/28/2017 - Carroll Township Trustee - Not Investment Related - 11080 W Toussaint East Rd, Oak Harbor, OH 43449 - Other-Political Office - Start Date 01/01/2018 - 8 Hours Per Month/1 Hour During Securities Trading - Carroll Township Elected Trustee. 4) 11/23/2020 - Hubertus Holdings LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date: 10/16/2019 - 0 Hours Per Month/0 Hours During Securities Trading - LLC created for a land purchase. 5) 10/6/2023: Toussaint River Land and Cattle II, LLC; At reported business location(s); Business Entity For Tax/Investment Purposes Only; Not Inv. related; start date 7/1/2005; 0hrs/mo. during trading. 6) 10/6/2023: Toussaint River Land and Cattle; Oak Harbor, OH; Other - Farm; Not Inv. related; start date 7/1/2005; 35hrs/mo.; 0hrs during trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-14
  • S66 Uniform Combined State Law Examination
    2017-04-14
Designations

View on SEC IAPD

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