James Robert Ptacek

1. 02/14/2018 - TA-CHECK FINANCIAL - Investment Related - Non-Variable Insurance - Insurance Sales - 80 Hours Per Month - Life, Health, LTC, Disability. 2. 02/14/2018 - TA-CHECK FINANCIAL - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Tax Preparer - Start Date 1993 - 80 Hours Per Month. 3. 02/14/2018 - PTACEK REAL ESTATE, LLC - Not Investment Related - OH - Real Estate Rental - PRESIDENT & LANDLORD - 10 Hours Per Month/0 Hours During Securities Trading. 4. 02/14/2018 - TA-CHECK FINANCIAL - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 5. 3/8/2018 - TA-CHECK FINANCIAL - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started 03/08/2018 - I provide investment advisory services through TA-Check Financial , an independent investment advisor firm. I started this business activity in 03/08/2018. I expect to spend approximately [hours per month] on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 6/27/2018 - P&M - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 08/01/2007 - 1 Hour Per Month/1 Hour During Securities Trading - Income Tax and Security Revenue. 7. 3/22/2021 - Ta-Check - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/1/1997 - 0 Hours Per Month/0 Hours During Securities Trading 8. 07/26/2023 - Sharaba's Financial Services, Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 06/27/2018 - 5 Hours Per Month/ 5 Hours During Trading