Individual Firm
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MARK STEPHEN THIEL
CRD#: 1821396
IA
B
LPL FINANCIAL LLCCRD#: 6413 3470 GATEWAY RD
BROOKFIELD, WI 53045
BROOKFIELD, WI 53045
View By:
5/25/2000
Customer Dispute
Denied
State Registrations
B
Arizona 3/24/2021
B
Michigan 10/14/2022
B
California 8/30/2024
B
Minnesota 3/24/2021
B
Colorado 3/24/2021
B
North Carolina 2/2/2022
B
District of Columbia 3/11/2025
B
Ohio 11/19/2022
B
Florida 3/24/2021
B
Tennessee 3/24/2021
B
Illinois 3/24/2021
IA
Texas 3/26/2021
B
Indiana 3/24/2021
B
Washington 3/24/2021
B
Iowa 3/24/2021
B
Wisconsin 3/24/2021
B
Louisiana 3/24/2021
IA
Wisconsin 3/24/2021
B
Maryland 9/13/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/24/2021
B
Registered with this firm since 3/24/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/01/2012 - 03/24/2021 | BROOKFIELD, WI | |
B | 08/01/2012 - 03/24/2021 | BROOKFIELD, WI | |
IA | 04/19/2012 - 08/01/2012 | ELM GROVE, WI | |
B | 01/24/2005 - 08/01/2012 | ELM GROVE, WI | |
IA | 04/29/2010 - 04/18/2012 | MILWAUKEE, WI | |
IA | 09/15/2005 - 03/31/2010 | ELM GROVE, WI | |
B | 12/01/2001 - 01/21/2005 | SAINT PAUL, MN | |
B | 09/19/1996 - 12/01/2001 | MORRIS PLAINS, NJ | |
B | 03/19/1991 - 09/24/1996 | OAKDALE, MN | |
B | 01/03/1989 - 01/16/1991 | ||
B | 05/25/1988 - 12/23/1988 | ||
B | 05/25/1988 - 12/23/1988 |
MILWAUKEE, WI
04/29/2010 - 04/18/2012
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.