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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2025-04-07
  • SC RA
    APPROVED
    Since 2025-04-07

Branch Locations

360 Kingsley Park Drive Suite 100, Fort Mill, SC 29715 • United States

Surfside Beach, SC • 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 Fort Mill SC 07/2005 10/2022
Advisor Group Surfside Beach SC 11/2022 04/2025
Lpl Financial Fort Mill SC 04/2025 Present
  • 07/2005 → 10/2022
    Fort Mill, SC
  • 11/2022 → 04/2025
    Advisor Group
    Surfside Beach, SC
  • 04/2025 → Present
    Lpl Financial
    Fort Mill, SC
Previous Registrations
  • 2023-08-23 → 2025-04-08
    Scottsdale, AZ
  • 2022-11-10 → 2023-08-23
    Osaic Services, Inc.
    Scottsdale, AZ
  • 2012-04-23 → 2022-11-02
    Fort Mill, SC
  • 2007-05-29 → 2011-12-31
    Uvest Financial Services Group, Inc.
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
Other Businesses

1) 04/2025 - AJ Trees and Timber / Co-owner / Business Entity For Tax/Investment Purposes Only / Non Inv Related / Chester SC 29706 / Start date 01/31/2025

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-02-05
S63 Uniform Securities Agent State Law Examination 1997-05-30
  • S65 Uniform Investment Adviser Law Examination
    2007-02-05
  • S63 Uniform Securities Agent State Law Examination
    1997-05-30

View on SEC IAPD

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