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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2024-11-04
TX RA APPROVED 2024-11-04
  • IN RA
    APPROVED
    Since 2024-11-04
  • TX RA
    APPROVED
    Since 2024-11-04

Branch Locations

646 Walnut St, Terre Haute, IN 47807 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones St Louis MO 08/2017 11/2024
Dever Distributing Terre Haute IN 11/2014 08/2017
Lpl Financial Llc Brazil IN 11/2024 Present
  • 08/2017 → 11/2024
    St Louis, MO
  • 11/2014 → 08/2017
    Dever Distributing
    Terre Haute, IN
  • 11/2024 → Present
    Brazil, IN
Previous Registrations
  • 2017-12-05 → 2024-11-08
    Terre Haute, IN
    St Louis, MO
    Terre Haute, IN
Other Businesses

1) 2026-04-23 - Maker's Pride - Outside/W-2 Employment - N - 40 - 0 - Terre Haute IN - 2026-04-10 - Inspect product for quality and any signs of foreign material contamination 2) 2024-11-04 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Keith Financial - DBA for LPL Business (entity for LPL business) - Y - 160 - 6.5 - at reported business location(s) - 2024-10-31 -

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-12-04
  • S66 Uniform Combined State Law Examination
    2017-12-04
Other Names
  • Cogan Keith
  • Cogan James Keith

View on SEC IAPD

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