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Current Employers
Lpl Financial Llc

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

Current Registrations

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

Branch Locations

Sussex, WI • United States

16570 W. Bluemound Road, Brookfield, WI 53005 • 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 Global Asset Management Milwaukee WI 04/2014 09/2017
Bmo Harris Financial Advisors Germantown WI 09/2017 Present
Lpl Financial Llc Germantown WI 03/2021 Present
  • 04/2014 → 09/2017
    Bmo Harris Global Asset Management
    Milwaukee, WI
  • 09/2017 → Present
    Bmo Harris Financial Advisors
    Germantown, WI
  • 03/2021 → Present
    Germantown, WI
Previous Registrations
  • 2018-08-07 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Waukesha, WI
    Germantown, WI
Other Businesses

1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - GERMANTOWN, WI 2) 08/03/2020 - Act in a Fiduciary Capacity - Guardian for my brother, Joseph Kleifgen - Investment Related - 10 hours per month - Sussex, WI

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-06
  • S66 Uniform Combined State Law Examination
    2018-08-06
Other Names
  • Amanda Rae Kleifgen

View on SEC IAPD

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