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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2012-04-09
TX RA APPROVED 2012-04-09
  • AR RA
    APPROVED
    Since 2012-04-09
  • TX RA
    APPROVED
    Since 2012-04-09

Branch Locations

3213 Avignon Way, Bentonville, AR 72712 • 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 Bentonville AR 04/2012 Present
Previous Registrations
Other Businesses

1. 01/13/2012 - Longview Capital Partners, LLC - INV REL - Business Entity For Tax/Investment Purposes Only - 1% TIME SPENT - LLC owns property address where office will be lcoated 2. 02/21/2012 - EGK - Elliott, Guthrie, Kendall Wealth Management - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 3. 7/5/2017 - No Business Name - Investment Related - Bourbon County, KS - Real Estate Rental - Started 10/05/2015 - 1 Hour Per Month During Securities Trading - Own various raw acreage that has some tillable ground. 4. 7/5/2017 - No Business Name - Investment Related - Ashley County, Arkansas - Real Estate Rental - Started 02/01/2017 - 1 Hour Per Month During Securities Trading - Cash rent of raw land for purposes of rancher running cattle. 5. 6/18/2018 - Heritage Wealth Management - Not Investment Related - Little Rock, AR - Real Estate Rental - Start Date:01/01/2018 - 1 Hours Per Month/1 Hours During Trading. 6. 2/27/2019 - Heritage Wealth Management - DBA: Oak Crest Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 03/01/2019 - 160 Hours Per Month/130 Hours During Securities Trading. 7) 03/05/2025 - Heritage Wealth Management - Not Investment Related - Business Entity For Tax/Investment Purposes Only - At Reported Business Location(s) - Start Date:01/01/2018 - 1 Hrs/Mth - 1 Hrs During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-17
S63 Uniform Securities Agent State Law Examination 1997-01-31
  • S65 Uniform Investment Adviser Law Examination
    1999-06-17
  • S63 Uniform Securities Agent State Law Examination
    1997-01-31
Other Names
  • Clay Guthrie

View on SEC IAPD

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