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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-05-11
GA RA APPROVED 2011-09-19
  • TX RA
    APPROVED_RES
    Since 2023-05-11
  • GA RA
    APPROVED
    Since 2011-09-19

Branch Locations

200 Ashford Ctr N Ste 400, Atlanta, GA 30338 • United States

Gainesville, GA • 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
Lpl Financial, Llc Atlanta GA 08/2011 Present
Previous Registrations
  • 2003-12-04 → 2011-08-09
    Securities America Advisors, Inc.
    Atlanta, GA
    Atlanta, GA
  • 2003-04-16 → 2003-12-02
    Veravest Investment Advisors, Inc.
    Atlanta, GA
Other Businesses

(1) 05/17/2011: Karen Lee and Associates - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 85% Time Spent - DBA for securities business (2) 05/17/2011: Commonwealth Life and Annuity Company - VA Trails - Investment Related - At Reported Business Location(s) - No Time Spent - sale of the original variable product (3) 05/17/2011: Integrated Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - No Time Spent (4) 08/01/2011: No Business Name - Speaker/Seminar - Investment Related - At Reported Business Location(s) - 5% Time Spent - Speaking engagements to discuss her book. Occasionally charges fees. (5) 08/31/2022 - Mystic Lee LLC - Not Investment Related - Home Based - Other - Business Owner - Owners - Start Date - 12/01/2022 - 0 Hours Per Month/0 Hours During Securities Trading. (6) 03/05/2026- Karen Lee - Author - Not Investment Related - Gainesville, GA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-10
S63 Uniform Securities Agent State Law Examination 1988-02-05
  • S65 Uniform Investment Adviser Law Examination
    1995-03-10
  • S63 Uniform Securities Agent State Law Examination
    1988-02-05
Designations
Other Names
  • Karen Judith Bressler

View on SEC IAPD

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