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Simon John Sumner

LPl Financial LLC

Tampa, FL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2016-11-22
  • FL RA
    APPROVED
    Since 2016-11-22

Branch Locations

601 Bayshore Blvd Ste 960, Tampa, FL 33606 • 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
Lpl Financial, Llc Tampa FL 10/2016 Present
The Bank Of Tampa Tampa FL 10/2016 Present
  • 10/2016 → Present
    Tampa, FL
  • 10/2016 → Present
    The Bank Of Tampa
    Tampa, FL
Previous Registrations
  • 2015-11-04 → 2016-09-12
    Lcg Pcg
    Tampa, FL
Other Businesses

1) 09/24/2016 - BT Wealth Advisors - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s)

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-07-05
  • S63 Uniform Securities Agent State Law Examination
    1996-07-05
Designations
Other Names
  • Simon Sumner

View on SEC IAPD

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