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Xavier M Tufty

LPl Financial LLC

Fort Mill, SC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2025-01-21
  • SC RA
    APPROVED
    Since 2025-01-21

Branch Locations

1055 Lpl Way, Fort Mill, SC 29715 • 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
Wells Fargo Advisors, Llc Charlotte NC 09/2013 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 06/2021
Lpl Financial Llc Rock Hill SC 06/2021 Present
Previous Registrations
  • 2013-09-18 → 2021-06-08
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
    Rock Hill, SC
    Rock Hill, SC
    Rock Hill, SC
  • 2011-01-03 → 2013-09-18
    Truist Investment Services, Inc.
    Norwood, NC
    Oakboro, NC
    Albemarle, NC
    Concord, NC
    Matthews, NC
    Charlotte, NC
    Charlotte, NC
  • 2009-05-15 → 2010-12-31
    Ubs Financial Services Inc.
    Weehawken, NJ
    Charlotte, NC
  • 2006-09-20 → 2009-03-18
    Banc Of America Investment Services, Inc.
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-19
S63 Uniform Securities Agent State Law Examination 2001-07-30
  • S66 Uniform Combined State Law Examination
    2006-09-19
  • S63 Uniform Securities Agent State Law Examination
    2001-07-30
Other Names
  • Xavier Mitchell Tufty

View on SEC IAPD

Other Firms

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BELLEAIR WEALTH MANAGEMENT, LLC
WEALTHCARE ADVISORY PARTNERS LLC
INSIGHT SECURITIES, INC.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
EDWARD JONES
SCHWAB WEALTH ADVISORY, INC.
PFS INVESTMENTS INC.

Other Investors

ALPESH JITENDRA PATEL
Tamrah Jennifer Bordini
MATTHEW N WALLEN
RAMIRO IGNACIO PARES
NILDA MELGAREJO DE BOYRIE
STEVEN Samuel SHANEYFELT
Katie Wineski Riegel
Christopher Wayne McAlister

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mill, SC
BELLEAIR WEALTH MANAGEMENT, LLC · Fort Mill, SC
WEALTHCARE ADVISORY PARTNERS LLC · Fort Mill, SC
INSIGHT SECURITIES, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
EDWARD JONES · FORT MILL, SC

More in Fort Mill, SC

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