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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2011-12-15
  • PA RA
    APPROVED
    Since 2011-12-15

Branch Locations

Wesley Chapel, FL • United States

187 Hershey Rd, Hummelstown, PA 17036 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Hummelstown PA 12/2011 Present
Previous Registrations
  • 2006-05-12 → 2011-12-16
    Cuso Financial Services, L.P.
    Harrisburg, PA
    Harrisburg, PA
Other Businesses

(1) 11/07/2013: HERSHEY RETIREMENT SOLUTIONS - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 07/17/2015: KJP LLC - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Start 06/01/2015 - 80 Hr/Mo; 7 Hour(s) During Securities Trading (3) 09/21/2016 - Notary - Investment Related - At Reported Business Location(s) - Start 09/20/2016 - 1 Hr/Mo; 0 Hour(s) During Securities Trading - Notary Public 4) 06/16/2025 - Not Investment Related - Other - ENTERTAINMENT - Various Location - Start Date:05/27/2025 - 9 Hrs/Mth - 0 Hrs During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-12
S63 Uniform Securities Agent State Law Examination 1999-04-27
  • S65 Uniform Investment Adviser Law Examination
    1999-11-12
  • S63 Uniform Securities Agent State Law Examination
    1999-04-27

View on SEC IAPD

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