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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-02-19
TX RA APPROVED_RES 2021-08-04
NC RA APPROVED 2021-06-03
  • FL RA
    APPROVED
    Since 2025-02-19
  • TX RA
    APPROVED_RES
    Since 2021-08-04
  • NC RA
    APPROVED
    Since 2021-06-03

Branch Locations

250 W. Pennsylvania Ave., Southern Pines, NC 28387 • United States

225 Green Street, Ste 1011, Fayetteville, NC 28301 • United States

Carrabelle, FL • 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
Wells Fargo Advisors Llc Garner NC 01/2011 05/2021
Lpl Financial Llc Fayetteville NC 05/2021 Present
  • 01/2011 → 05/2021
    Wells Fargo Advisors Llc
    Garner, NC
  • 05/2021 → Present
    Fayetteville, NC
Previous Registrations
  • 2011-01-21 → 2021-06-02
    Garner, NC
    Raleigh, NC
    Garner, NC
    Raleigh, NC
    Raleigh, NC
    Cary, NC
    Raleigh, NC
    Wilmington, NC
    Sanford, NC
    Raleigh, NC
    Raleigh, NC
    Knightdale, NC
    Raleigh, NC
  • 2007-01-08 → 2011-02-03
    Fayetteville, NC
    Dunn, NC
Other Businesses

1) 05/27/2021 - Good Life Insurance Agency - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 5/27/2021 2) 05/27/2021 - Good Life Financial Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 5/27/2021 3) 08/13/2025 - Chapman & Ives, LLC, DBA Good Life Financial Advisors of NC - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date 05/10/2021 - 170 hours per month/ During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-01-05
S63 Uniform Securities Agent State Law Examination 1989-02-24
  • S65 Uniform Investment Adviser Law Examination
    2007-01-05
  • S63 Uniform Securities Agent State Law Examination
    1989-02-24
Other Names
  • Mike Chapman

View on SEC IAPD

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