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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2019-10-15
  • AL RA
    APPROVED
    Since 2019-10-15

Branch Locations

Hoover, AL • United States

2100 Third Avenue N Ste 1100, Birmingham, AL 35203 • 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
Brookline Group, Llc Birmingham AL 08/2012 11/2018
Brookline Investments, Inc Birmingham AL 01/2013 12/2018
Proequities, Inc. Birmingham AL 12/2018 09/2019
Cadence Investment Services/Huntington National Bank Birmingham AL 09/2019 Present
Lpl Financial Llc Birmingham AL 10/2019 Present
  • 08/2012 → 11/2018
    Brookline Group, Llc
    Birmingham, AL
  • 01/2013 → 12/2018
    Birmingham, AL
  • 12/2018 → 09/2019
    Proequities, Inc.
    Birmingham, AL
  • 09/2019 → Present
    Cadence Investment Services/Huntington National Bank
    Birmingham, AL
  • 10/2019 → Present
    Birmingham, AL
Previous Registrations
  • 2019-09-20 → 2019-10-03
    Birmingham, AL
    Houston, TX
  • 2018-12-27 → 2019-09-06
    Concourse Financial Group Securities, Inc.
    Birmingham, AL
  • 2013-01-11 → 2018-12-31
    Birmingham, AL
  • 2011-09-09 → 2012-08-28
    Intl Advisory Consultants Inc.
    Birmingham, AL
  • 2009-03-06 → 2011-09-15
    Msi Financial Services, Inc.
    Birmingham, AL
  • 2007-04-18 → 2008-11-25
    Birmingham, AL
  • 2004-04-16 → 2007-03-24
    Trussville, AL
    Birmingham, AL
Other Businesses

1) 10/15/19- Investment products and services are offered through LPL Financial LLC using the DBA/trade name Cadence Investment Services - Inv. Related- at reported business location(s)- 100% 2) 10/15/19- FINRA Dispute Resolution- FINRA Arbitrator- Inv. Related- Boca Raton, FL- start date 4/1/2004- 0% 3) 02/06/2026- Cadence Investment Services/Huntington National Bank - Financial Institution Duty - Investment Products Risk & Compliance Manager - At Reported Business Location(s) - start date 09/09/2019- 40 hours per month/ during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-22
S63 Uniform Securities Agent State Law Examination 1997-09-04
  • S65 Uniform Investment Adviser Law Examination
    2000-08-22
  • S63 Uniform Securities Agent State Law Examination
    1997-09-04
Other Names
  • Laree Payne Kennedy
  • Laree Payne Brown

View on SEC IAPD

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