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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-04-05
NC RA APPROVED 2007-07-23
  • TX RA
    APPROVED_RES
    Since 2021-04-05
  • NC RA
    APPROVED
    Since 2007-07-23

Branch Locations

3701 Lake Boone Trail, Ste 302, Raleigh, NC 27607 • 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 Raleigh NC 07/2007 Present
Previous Registrations
Other Businesses

1) 07/23/2007 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - DISABILITY, PROPERTY AND CASUALTY - 6% TIME SPENT. 2) 07/23/2007 - CECIL FINANCIAL, INC. - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION. 3) 8/3/2007 - AMERUS LIFE INSURANCE COMPANY - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - I would like to apply for a direct agent contract with Amerus Life Insurance Company. I would on be selling fixed insurance and fixed annuities - 20% TIME SPENT. 4) 9/28/2007 - LINCOLN FINANCIAL - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - WRITE DIRECT LIFE AND FIXED ANNUITY BUSINESS WITH LINCOLN FINANCIAL - TIME SPENT 10%. 5) 6/22/2009 - NO BUSINESS NAME - REAL ESTATE RENTAL - INV REL - AT REPORTED BUSINESS LOCATION - MY PARENTS, MY WIFE AND I ARE GOING TO RENT A (ONE) BEACH FRONT CONDO IN NORTH MYRTLE BEACH. MY PARENTS AND MY WIFE ARE ALL CLIENTS. WE ARE GOING TO USE A RENTAL AGENCY, SO OUR CUSTOMERS WILL BE THE GENERAL PUBLIC THAT FINDS THE UNIT THROUGH THEM - TIME SPENT 2%. 6) 03/10/2014 - CRUMP - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - Continued fixed insurance business with CRUMP. Not an officer or anything. Just a producer - 5% TIME SPENT. 7) 6/7/2021 - Carawan Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 5/17/2021 - 2 Hours Per Month/2 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-01-16
S63 Uniform Securities Agent State Law Examination 2001-11-15
  • S65 Uniform Investment Adviser Law Examination
    2002-01-16
  • S63 Uniform Securities Agent State Law Examination
    2001-11-15

View on SEC IAPD

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