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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2024-08-28
TX RA APPROVED 2024-08-28
  • MO RA
    APPROVED
    Since 2024-08-28
  • TX RA
    APPROVED
    Since 2024-08-28

Branch Locations

3636 S Geyer Rd #100, St. Louis, MO 63127 • United States

3636 S Geyer Rd #100, St Louis, MO 63127 • United States

231 N. Main St., Edwardsville, IL 62025 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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
Low Country Financial Strategies East Alton IL 02/2001 12/2019
Brad Tinnin Ind. Insurance Agent St. Louis MO 06/2002 Present
Osaic Wealth, Inc. E. Alton IL 10/2004 08/2024
Prudent Investor Services, Inc. East Alton IL 10/2004 08/2024
Lpl Financial Llc St. Louis MO 08/2024 Present
  • 02/2001 → 12/2019
    Low Country Financial Strategies
    East Alton, IL
  • 06/2002 → Present
    Brad Tinnin Ind. Insurance Agent
    St. Louis, MO
  • 10/2004 → 08/2024
    E. Alton, IL
  • 10/2004 → 08/2024
    Prudent Investor Services, Inc.
    East Alton, IL
  • 08/2024 → Present
    St. Louis, MO
Previous Registrations
Other Businesses

1- 07/2024 / Prudent Investor Services, INC / Business Entity For Tax/Investment Purposes Only / NON INV RLTD / 1 HRS MNTH / START 04/11/2005 2- 07/2024 / Bradley Tinnin / Notary / INV RLTD / 1 HRS MNTH / START 10/01/2019 3- 07/2024 / Integrity Financial Group / DBA for LPL Business (entity for LPL business) / INV RLTD / 160 HR MNTH / 8 HRS DURING TRADING 4- 07/2024 / Bradley Tinnin Insurance Agent / Non-Variable Insurance / INV RLTD / 5 HRS MNTH / 1 HRS DURING TRADING / START 04/01/2005

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-24
S63 Uniform Securities Agent State Law Examination 1999-08-12
  • S65 Uniform Investment Adviser Law Examination
    2001-04-24
  • S63 Uniform Securities Agent State Law Examination
    1999-08-12
Designations
  • Certified Financial Planner
Other Names
  • Bradley Michael Tinnin

View on SEC IAPD

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