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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-07-21
TX RA APPROVED_RES 2021-07-21
  • IL RA
    APPROVED
    Since 2021-07-21
  • TX RA
    APPROVED_RES
    Since 2021-07-21

Branch Locations

4801 Southwick Dr Suite 100, Matteson, IL 60443 • 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
Waddell & Reed, Inc. Matteson IL 09/1987 07/2021
Various Insurance Carriers For W & R Insurance Agencies Flossmoor IL 12/2001 07/2021
Residential Rental Chicago IL 01/1989 09/2017
Gant Enterprises Inc Flossmoor IL 09/2019 07/2021
Lpl Financial Llc Matteson IL 07/2021 Present
  • 09/1987 → 07/2021
    Waddell & Reed, Inc.
    Matteson, IL
  • 12/2001 → 07/2021
    Various Insurance Carriers For W & R Insurance Agencies
    Flossmoor, IL
  • 01/1989 → 09/2017
    Residential Rental
    Chicago, IL
  • 09/2019 → 07/2021
    Gant Enterprises Inc
    Flossmoor, IL
  • 07/2021 → Present
    Matteson, IL
Previous Registrations
  • 1998-10-22 → 2021-07-21
    Waddell & Reed
    Matteson, IL
    Mokena, IL
    Matteson, IL
    Evergreen Park, IL
    Evergreen Park, IL
    Savage, MN
Other Businesses

1)08/03/2021 - Guiding Life Financial Grp - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 2017. 2)08/03/2021 - Gant Enterprise Inc. - Business Entity For Tax/Investment Purposes Only - Inv Rel - At Reported Business Location(s) - Start: 10/2017 - 1 Hr/Mth. 3)08/03/2021 - Associates of Clifton - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 1998.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-15
S63 Uniform Securities Agent State Law Examination 1991-08-30
  • S65 Uniform Investment Adviser Law Examination
    1998-09-15
  • S63 Uniform Securities Agent State Law Examination
    1991-08-30
Other Names
  • Deborah Jeanne Sparkman
  • Deborah Jeanne Stanford
  • Deborah Gant
  • Deborah Jeanne Gant

View on SEC IAPD

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