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Dorothy H Yandle

LPl Financial LLC

Charlotte, NC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-04-27
NC RA APPROVED 2022-04-19
  • TX RA
    APPROVED
    Since 2022-04-27
  • NC RA
    APPROVED
    Since 2022-04-19

Branch Locations

8037 Corporate Center Dr #300, Charlotte, NC 28226 • 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
North American Co For Life & Health West Des Moines IA 11/2012 04/2022
Triad Advisors, Inc. Norcross GA 04/2013 03/2022
Lpl Financial Llc Charlotte NC 04/2022 Present
  • 11/2012 → 04/2022
    North American Co For Life & Health
    West Des Moines, IA
  • 04/2013 → 03/2022
    Triad Advisors, Inc.
    Norcross, GA
  • 04/2022 → Present
    Charlotte, NC
Previous Registrations
  • 2013-04-25 → 2022-04-18
    Triad Advisors Llc
    Charlotte, NC
    Atlanta, GA
    Charlotte, NC
  • 2003-01-13 → 2013-04-25
    Avantax Advisory Services
    Charlotte, NC
  • 2001-12-31 → 2002-11-12
    Veravest Investment Advisors, Inc.
    Atlanta, GA
Other Businesses

1) 4/2022- Focused Wealth LLC- DBA for LPL Business (entity for LPL business)- inv. related- Charlotte, NC 2) 4/2022- BISCOTTI HOLDINGS, LLC- Real Estate Rental- owner- inv. related- 8037 Corporate Center Dr, 300, Charlotte, NC 28226- start date -5/2010- 0hrs/mth

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-21
S63 Uniform Securities Agent State Law Examination 2000-02-07
  • S65 Uniform Investment Adviser Law Examination
    2000-12-21
  • S63 Uniform Securities Agent State Law Examination
    2000-02-07
Other Names
  • Dot H Yandle
  • Dorothy R. Hayes
  • Dorothy H Yandle
  • Dorothy Yandle

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