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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-12-27
  • CA RA
    APPROVED
    Since 2016-12-27

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Winton, NC • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Charlotte NC 09/2012 Present
  • 09/2012 → Present
    Lpl Financial
    Charlotte, NC
Previous Registrations
  • 2008-07-25 → 2012-09-17
    Next Financial Group, Inc.
    Houston, TX
  • 2006-08-30 → 2008-06-16
    Wamu Investments, Inc.
    Irvine, CA
    Irvine, CA
  • 2005-01-03 → 2005-02-15
    Truist Investment Services, Inc.
    Durham, NC
  • 2002-09-30 → 2005-01-03
    Ncf Financial Services, Inc.
    Raleigh, NC
  • 2002-01-24 → 2002-09-30
    Invest Financial Corporation
    Durham, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-09-14
  • S66 Uniform Combined State Law Examination
    2001-09-14
Other Names
  • Scarlett Chamice Cherry

View on SEC IAPD

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