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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2007-04-10 |
| IL | RA | APPROVED | 2003-05-12 |
Branch Locations
40W188 Campton Crossing, Ste E, St. Charles, IL 60175 • United States
St. Charles, IL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Saint Charles | IL | 05/2003 | Present |
1. 6/3/2008 - FOX RIVER FINANCIAL CONSULTANTS, LLC - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 2. 8/17/2010 - NO BUSINESS NAME - NOTARY - NOTARIZING FORMS AS NEEDED FOR CLIENTS WHO NEED TO HAVE FORMS NOTARIZED RATHER THAN SIGNATURE GUARANTEED. - 1% OF TIME - ST. CHARLES, IL. 3. 11/3/2010: NON-VARIABLE INSURANCE DBA - FOX RIVER FINANCIAL CONSULTANTS, LLC - SELLING AUTO, HOMEOWNERS, AND LIABILITY INSURANCE TO CURRENT CLIENTS. - TIME SPENT 5% - ST. CHARLES, IL. 4. 07/31/2014 - BERGMANN PROPERTIES, LLC - INV REL - 40W188 CAMPTON CROSSING, SUITE E, SAINT CHARLES, IL 60175 - REAL ESTATE RENTAL - START 11/12/2014 - 2 HOURS PER MONTH, 2 DURING TRADING - BERGMANN PROPERTIES, LLC IS A COMPANY I SET UP ALONG WITH MY WIFE MERRY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-02 |
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