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Ann Marie Mariani-Issel

LPl Financial LLC

Downers Grove, IL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2019-05-31
  • IL RA
    APPROVED
    Since 2019-05-31

Branch Locations

2651 Warrenville Road Ste 200, Downers Grove, IL 60515 • 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
Securities America, Inc Crystal Lake IL 12/2011 05/2019
Dorion-Gray Retirement Planning, Inc. Crystal Lake IL 01/2012 Present
Securities America Advisors Crystal Lake IL 12/2011 05/2019
Lpl Financial, Llc Crystal Lake IL 05/2019 Present
  • 12/2011 → 05/2019
    Securities America, Inc
    Crystal Lake, IL
  • 01/2012 → Present
    Dorion-Gray Retirement Planning, Inc.
    Crystal Lake, IL
  • 12/2011 → 05/2019
    Securities America Advisors
    Crystal Lake, IL
  • 05/2019 → Present
    Crystal Lake, IL
Previous Registrations
  • 2013-12-11 → 2019-06-03
    Securities America Advisors, Inc.
    Crystal Lake, IL
  • 2012-02-27 → 2013-12-31
    Dorion-Gray Retirement Planning, Inc.
    Crystal Lake, IL
  • 2009-01-02 → 2011-12-01
    Wayne, IL
  • 1998-01-12 → 2011-12-01
    Heritage Capital Management Inc
    Schaumburg, IL
Other Businesses

1. 03/18/2020 - Professional Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/31/2019 - 20 Hours Per Month/7 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-18
S63 Uniform Securities Agent State Law Examination 1991-10-25
  • S65 Uniform Investment Adviser Law Examination
    1996-12-18
  • S63 Uniform Securities Agent State Law Examination
    1991-10-25
Other Names
  • Ann Marie Mariani-Issel
  • Ann Marie Mariani
  • Ann Marie Spongberg
  • Ann M Spongberg
  • Ann M Mariani
  • Ann Issel

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