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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2013-03-01
NC RA APPROVED 2005-08-08
  • TX RA
    APPROVED
    Since 2013-03-01
  • NC RA
    APPROVED
    Since 2005-08-08

Branch Locations

3120 S Church St Ste 101, Burlington, NC 27215 • United States

122 Memory Plz, Whiteville, NC 28472-2640 • 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 Burlington NC 07/2005 Present
Previous Registrations
Other Businesses

1) 2/10/2009: FISHER WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2) 2/20/2009: No Business Name - INV REL - At Reported Business Location(s) - Real Estate Rental - Time Spent 0% - 1 beach property rental. 3) 12/5/2013: RLF Properties, FACB Properties, 69 West First St. LLC - INV REL - At Reported Business Location(s) - Real Estate Rental - Time Spent 0% - BEACH RENTALS. 3 UNITS. NO RENTERS ARE CUSTOMERS OR ADVISORS. 4) 12/14/2015: Crump Insurance services - INV REL - At Reported Business Location(s) - Non-Variable Insurance - START 11/30/2015 - 5 HRS/MO; 5 HRS/MO DURING SECS TRDG HRS - Sales of insurance products 5) 9/6/2017: No Business Name - Investment Related - Ocean Isle Beach, NC - Real Estate Rental - Started 07/10/2017 - 5 Hours Per Month/0 Hours During Securities Trading. 6) 9/6/2017: 357 w first st LLC - Investment Related - Ocean Isle Beach, NC - Real Estate Rental - Owner - Started 07/04/2016 - 2 Hours Per Month/0 Hours During Securities Trading. 7) 04/05/2019 - oib rentals - Not investment related - ocean isle beach nc - Family Business - start date:01/21/2019 - 1 hr/mo - 0 hrs during trading. 8) 11/4/2021 - rlf properties, facb properties - Investment Related - chapel hill nc 27517; atlantic beach nc, 28512; and atlantic beach nc 285112 - Real Estate Rental - Started 01/11/2021 - 1 Hour Per Month/0 Hours During Securities Trading. 9) 05/24/2022 - Wilson Brown Sock Company - Not Investment Related - Business Owner - Start Date - 05/23/2022 - 0 Hours Per Month/ 0 Hours During Securities Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-03-16
  • S63 Uniform Securities Agent State Law Examination
    2000-03-16
Designations
Other Names
  • Rick Fisher
  • Richard Northrup Jr Fisher

View on SEC IAPD

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