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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2005-09-16
  • GA RA
    APPROVED
    Since 2005-09-16

Branch Locations

3720 Atlanta Hwy Ste 4, Athens, GA 30606-3156 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Athens GA 09/2005 Present
Previous Registrations
Other Businesses

(1) 09/12/2005: Elliot Financial Group - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location(s) (2) 01/29/2007: No Business Name - Mortgage/Real Estate Services - INV REL - At Reported Business Location(s) - Real Estate Sales Agent buy and sell real estate (3) 05/06/2008: Athena Wealth Management - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location(s).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-17
S63 Uniform Securities Agent State Law Examination 2000-08-04
  • S65 Uniform Investment Adviser Law Examination
    2000-08-17
  • S63 Uniform Securities Agent State Law Examination
    2000-08-04
Other Names
  • Tom James Elliot
  • Thomas James Elliot

View on SEC IAPD

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