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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-07-26
VA RA APPROVED 2019-07-26
  • TX RA
    APPROVED
    Since 2019-07-26
  • VA RA
    APPROVED
    Since 2019-07-26

Branch Locations

501 Independence Pkwy Ste 202, Chesapeake, VA 23320 • 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
Ameriprise Financial Services, Inc. Chesapeake VA 09/2005 07/2019
Lpl Financial Llc Chesapeake VA 07/2019 Present
  • 09/2005 → 07/2019
    Ameriprise Financial Services, Inc.
    Chesapeake, VA
  • 07/2019 → Present
    Chesapeake, VA
Previous Registrations
Other Businesses

1)07/01/2019 - JCG LLC - Business Entity For Tax/Investment Purposes Only - inv rel - at reported business location(s) - start: 11/2013. 2) 6/16/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Started 06/16/2020 - 1 Hour Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-05-07
  • S66 Uniform Combined State Law Examination
    2002-05-07
Other Names
  • Carter Johns
  • C. Carter Johns
  • Carroll Carter Johns

View on SEC IAPD

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