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Brock James Mumford

LPl Financial LLC

Fripp Island, SC

Vienna, VA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2024-01-04
SC RA APPROVED 2020-07-13
  • VA RA
    APPROVED
    Since 2024-01-04
  • SC RA
    APPROVED
    Since 2020-07-13

Branch Locations

Fripp Island, SC • United States

8100 Boone Blvd Ste 420, Vienna, VA 22182 • 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
Bank Of America/Columbia Management/Ameriprise Financial Charlotte NC 12/2006 04/2017
Element Funding Charlotte NC 04/2017 01/2018
Southtown Watersports Charlotte NC 04/2018 10/2018
Lpl Financial, Llc Tega Cay SC 12/2018 Present
  • 12/2006 → 04/2017
    Bank Of America/Columbia Management/Ameriprise Financial
    Charlotte, NC
  • 04/2017 → 01/2018
    Element Funding
    Charlotte, NC
  • 04/2018 → 10/2018
    Southtown Watersports
    Charlotte, NC
  • 12/2018 → Present
    Lpl Financial, Llc
    Tega Cay, SC
Other Businesses

1. 01/04/2021 - PLUMTREE FINANCIAL, LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 0%/ TEGA CAY, SC

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-10
S63 Uniform Securities Agent State Law Examination 2001-09-20
  • S66 Uniform Combined State Law Examination
    2020-07-10
  • S63 Uniform Securities Agent State Law Examination
    2001-09-20

View on SEC IAPD

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