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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2006-05-02
  • KY RA
    APPROVED
    Since 2006-05-02

Branch Locations

1448 Gardiner Lane Ste 102, Louisville, KY 40213-1979 • United States

Anchorage, KY • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc (F/K/A Linsco/Private Ledger Corp.) Louisville KY 05/2006 Present
  • 05/2006 → Present
    Lpl Financial Llc (F/K/A Linsco/Private Ledger Corp.)
    Louisville, KY
Previous Registrations
  • 2004-01-07 → 2006-05-03
    J.J.B. Hilliard, W.L. Lyons, Llc
    Louisville, KY
Other Businesses

(1) 8/18/2008 - DBA ONLY - ALLEGIANT FINANCIAL SERVICES, LLC - LOUISVILLE, KY 2. 10/29/2019 - Amazon SDF8 Fulfillment Ctr. - Not investment related - 900 Patrol Rd. Jeffersonville, IN 47130 - Outside/W-2 Employment - start date:09/26/2019 - 140 hrs/mo - 0 hrs during trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-21
S63 Uniform Securities Agent State Law Examination 1997-01-03
  • S65 Uniform Investment Adviser Law Examination
    1999-12-21
  • S63 Uniform Securities Agent State Law Examination
    1997-01-03

View on SEC IAPD

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