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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2018-02-15
GA RA APPROVED 2018-02-14
LA RA APPROVED 2018-02-14
MI RA APPROVED 2018-02-14
NJ RA APPROVED 2018-02-14
PA RA APPROVED 2018-02-14
TX RA APPROVED_RES 2018-02-14
  • FL RA
    APPROVED
    Since 2018-02-15
  • GA RA
    APPROVED
    Since 2018-02-14
  • LA RA
    APPROVED
    Since 2018-02-14
  • MI RA
    APPROVED
    Since 2018-02-14
  • NJ RA
    APPROVED
    Since 2018-02-14
  • PA RA
    APPROVED
    Since 2018-02-14
  • TX RA
    APPROVED_RES
    Since 2018-02-14

Branch Locations

18167 Us Hwy19 N Ste 400, Clearwater, FL 33764 • United States

Palm Harbor, FL • 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
Broker Dealer Services Clearwater FL 04/2006 02/2018
Invest Financial Corporation Clearwater FL 02/2009 02/2018
Lpl Financial Llc Clearwater FL 02/2018 Present
  • 04/2006 → 02/2018
    Broker Dealer Services
    Clearwater, FL
  • 02/2009 → 02/2018
    Invest Financial Corporation
    Clearwater, FL
  • 02/2018 → Present
    Clearwater, FL
Previous Registrations
  • 2009-02-10 → 2018-02-15
    Invest Financial Corporation
    Appleton, WI
    Clearwater, FL
    Clearwater, FL
    Spring Hill, FL
    Crystal River, FL
    Appleton, WI
  • 1998-11-13 → 2009-02-18
    Clearwater, FL
Other Businesses

1. 02/14/2018 - SEQUOIA HOLDINGS - Not Investment Related - PALM HARBOR, FL 34685 - Real Estate Rental - President. 2. 02/14/2018 - LIFE BROKERAGE Equity GROUP - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only. 3. 02/14/2018 - PREMIER WEALTH PLANNING - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 11/10/2010 - Time Spent 50%. 4. 02/14/2018 - ANNUITY PARTNERS, LLC - Investment Related - At Reported Business Location(s) - Insurance Agency - Member - Start Date 2012 - Time Spent 0%. 5. 02/14/2018 - BROKER DEALER SERVICES - Investment Related - At Reported Business Location(s) - Insurance Agency - President - 10 Hours Per Month/8 Hours During Securities Trading. 6. 02/14/2018 - LIFE BROKERAGE FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - Insurance Agency - Start Date 2008 - 160 Hours Per Month/160 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-03-31
S63 Uniform Securities Agent State Law Examination 2001-05-18
  • S65 Uniform Investment Adviser Law Examination
    2014-03-31
  • S63 Uniform Securities Agent State Law Examination
    2001-05-18

View on SEC IAPD

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