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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2023-12-04 |
Branch Locations
112 E Mountcastle Dr, Johnson City, TN 37601 • United States
100 Med Tech Pkwy Fl 2, Johnson City, TN 37604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bristol | TN | 01/2011 | 07/2020 |
| Bank Of America Na | Bristol | TN | 01/2011 | 07/2020 |
| Unknown | Abingdon | VA | 08/2020 | 02/2021 |
| Regions Bank | Johnson City | TN | 02/2021 | 11/2023 |
| Cetera Investment Advisers Llc | Johnson City | TN | 03/2021 | 11/2023 |
| Cetera Investment Services Llc | St. Cloud | MN | 03/2021 | 11/2023 |
| Bank Of Tennessee | Johnson City | TN | 12/2023 | Present |
| Lpl Financial Llc | Johnson City | TN | 12/2023 | Present |
1) 11/22/2023 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name BOT Wealth Management - Inv Rel - At Reported Business Location(s) 2) 11/10/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Wealth Management, A Division of Bank of Tennessee - Investment Related - At Reported Business Location(s) - Start Date 10/23/2025 - 0 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-08-05 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-08 |
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