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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2017-12-14
NJ RA APPROVED 2017-11-20
  • DE RA
    APPROVED
    Since 2017-12-14
  • NJ RA
    APPROVED
    Since 2017-11-20

Branch Locations

501 Silverside Rd Ste 13, Wilmington, DE 19809 • United States

130 N Woodbury Road, Pitman, NJ 08071 • 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
Wells Fargo Advisors, Llc Radnor PA 06/2014 11/2016
Wells Fargo Clearing Services, Llc Radnor PA 11/2016 11/2017
Lpl Financial Llc Pitman NJ 11/2017 Present
Previous Registrations
  • 2014-07-31 → 2017-11-29
    Hockessin, DE
    Hockessin, DE
    Radnor, PA
    Greenville, DE
    Wilmington, DE
    Wilmington, DE
    Wilmington, DE
  • 2011-12-22 → 2014-08-05
    M&T Securities, Inc.
    Wilmington, DE
    Wilmington, DE
    Elsmere, DE
    Wilmington, DE
    Wilkes-Barre, PA
    Wilmington, DE
    Claymont, DE
    Wilmington, DE
    Wilmington, DE
    Wilmington, DE
  • 2009-01-12 → 2011-12-23
    Woodstown, NJ
  • 2008-09-08 → 2009-01-12
    Raymond James Financial Services, Inc.
    Bristol, PA
    Manheim, PA
    Woolwich Township, NJ
    Lancaster, PA
  • 2005-10-11 → 2006-10-06
    Gloucester, NJ
    Clementon, NJ
    Clementon, NJ
  • 2003-07-24 → 2004-12-06
    Essex National Securities, Llc
    Sewell, NJ
  • 2002-06-06 → 2002-11-04
    Morgan Stanley Dw Inc.
    Mt. Laurel, NJ
Other Businesses

1) 10/18/2017 - Main Street Investment Group, LLC - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 11/2017 - 40 hr/mth 2) 4/9/2018 - Reidinger Asset Management - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2018 - 160 Hours Per Month/8 Hours During Securities Trading. 3) 4/19/2018 - National Life Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 02/01/2018 - 10 Hours Per Month/1 Hour During Securities Trading. 4) 9/15/2018 - Evolution Financial Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 08/24/2018 - 5 Hours Per Month/1 Hour During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-11-07
S63 Uniform Securities Agent State Law Examination 1986-10-27
  • S65 Uniform Investment Adviser Law Examination
    2005-11-07
  • S63 Uniform Securities Agent State Law Examination
    1986-10-27

View on SEC IAPD

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