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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-05-11 |
| GA | RA | APPROVED | 2011-09-19 |
Branch Locations
200 Ashford Ctr N Ste 400, Atlanta, GA 30338 • United States
Gainesville, GA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Atlanta | GA | 08/2011 | Present |
(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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 1988-02-05 |
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