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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
SD RA APPROVED 2021-07-21
  • SD RA
    APPROVED
    Since 2021-07-21

Branch Locations

1301 W Omaha St Ste 202, Rapid City, SD 57701 • United States

1230 North Ave Ste 8, Spearfish, SD 57783 • 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
Waddell & Reed, Inc. Spearfish SD 01/1999 07/2021
Various Insurance Carriers For W & R Insurance Agencies Spearfish SD 07/1999 07/2021
Rental Property Spearfish SD 10/2014 07/2021
Canyon Wealth Group Spearfish SD 05/2018 07/2021
Lpl Financial Llc Spearfish SD 07/2021 Present
  • 01/1999 → 07/2021
    Waddell & Reed, Inc.
    Spearfish, SD
  • 07/1999 → 07/2021
    Various Insurance Carriers For W & R Insurance Agencies
    Spearfish, SD
  • 10/2014 → 07/2021
    Rental Property
    Spearfish, SD
  • 05/2018 → 07/2021
    Canyon Wealth Group
    Spearfish, SD
  • 07/2021 → Present
    Spearfish, SD
Previous Registrations
  • 1999-07-22 → 2021-07-21
    Waddell & Reed
    Sioux Falls, SD
    Spearfish, SD
    Rapid City, SD
    Spearfish, SD
    Rapid City, SD
    Savage, MN
Other Businesses

1.12/28/2021; ; Real Estate Rental; Investment Related; Spearfish,SD; Start Date 09/01/2013; 0hrs/mth; 0hrs during trading 2.12/28/2021; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Canyon Wealth Group; Investment Related; at Reported Business Location(s); Start Date 05/01/2019; hrs/mth; hrs during trading 3.12/28/2021; ; Other- Notary; Investment Related; Suite 8 Spearfish,SD; Start Date 01/01/2011; hrs/mth; hrs during trading 4.12/28/2021; Four Seasons Advisors, LLC; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date ; 0hrs/mth; 0hrs during trading 5.07/26/2023; Associates of Clifton Park; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 05/25/2023; 4hrs/mth; 4hrs during trading 6.08/06/2026; Venerable Annuity and Insurance company; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 07/17/2026; 3hrs/mth; 0hrs during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-06-29
  • S66 Uniform Combined State Law Examination
    1999-06-29
Other Names
  • Diane Chamberlain

View on SEC IAPD

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