Katherine Auman Matthews

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/1995 → 01/2019
  Bb&T
  Greensboro, NC
• 03/2006 → 02/2021
  Bb&T Investment Services, Inc.
  Charlotte, NC
• 01/2018 → 02/2021
  Bb&T Securities, Llc
  Richmond, VA
• 01/2019 → 02/2021
  Bb&T
  Fuquay Varina, NC
• 02/2021 → 09/2023
  Truist Investment Services, Inc.
  Fuquay Varina, NC
• 03/2021 → 09/2023
  Truist Advisory Services, Inc.
  Atlanta, GA
• 11/2024 → Present
  Lpl Financial Llc
  Raleigh, NC
• 10/2023 → 01/2024
  N/A
  Raleigh, NC
• 01/2024 → 05/2024
  Hilltop Christian School
  Fuquay Varina, NC
• 06/2024 → 11/2024
  N/A
  Raleigh, NC

Previous Registrations

• 2021-03-02 → 2023-10-10
  Truist Advisory Services, Inc.
  Atlanta, GA
  Fuquay-Varina, NC
• 2018-01-02 → 2021-03-02
  Bb&T Securities, Llc
  Charlotte, NC
  Fuquay Varina, NC
  Richmond, VA
• 2006-03-21 → 2018-01-02
  Bb&T Investment Services, Inc.
  Raleigh, NC
  Fuquay Varina, NC
  Charlotte, NC
  Charlotte, NC
• 2005-04-12 → 2006-03-21
  Bb&T Asset Management, Inc.
  Raleigh, NC

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-04-11
• S63 Uniform Securities Agent State Law Examination
  2000-10-13

Other Names

• Katherine Lane Auman