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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2011-01-04
KY RA APPROVED 2009-12-16
  • TX RA
    APPROVED
    Since 2011-01-04
  • KY RA
    APPROVED
    Since 2009-12-16

Branch Locations

141 North 3Rd Street, Danville, KY 40422 • United States

25 River Dr, Irvine, KY 40336 • 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
Lpl Financial, Llc Danville KY 12/2009 Present
Previous Registrations
Other Businesses

1. 12/15/2009: Tye Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 12/15/2010: Blue Moon Rentals, LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Time Spent 2% - 4 commercial rental units. Tye Financial group is main tenant. No others are customers. 3. 04/22/2022 - Lune Bleue, LLC - Not Investment Related - Danville, KY - Start Date - 04/18/2022 - 5 Hours Per Month/ 0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-25
S63 Uniform Securities Agent State Law Examination 2001-07-06
  • S66 Uniform Combined State Law Examination
    2007-01-25
  • S63 Uniform Securities Agent State Law Examination
    2001-07-06
Designations

View on SEC IAPD

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