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Mirjhana Alyce Buck

LPl Financial LLC

Cumberland, MD

CRD 2920241

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2023-01-11
TX RA APPROVED_RES 2021-06-17
  • MD RA
    APPROVED
    Since 2023-01-11
  • TX RA
    APPROVED_RES
    Since 2021-06-17

Branch Locations

29 N Liberty St, Cumberland, MD 21502 • 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
Wells Fargo Advisors Llc Mchenry MD 05/2009 06/2021
Wells Fargo Clearing Services, Llc Mchenry MD 11/2016 06/2021
Lpl Financial, Llc Cumberland MD 06/2021 Present
Previous Registrations
Other Businesses

1. 6/17/2021 - Boggs & Company Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 1/10/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Other-NOTARY PUBLIC - Started 01/06/2022 - 1 Hour Per Month During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-29
S63 Uniform Securities Agent State Law Examination 2005-06-02
  • S66 Uniform Combined State Law Examination
    2007-10-29
  • S63 Uniform Securities Agent State Law Examination
    2005-06-02
Other Names
  • Mirjhana Alyce Boggs
  • Mirjhana Alyce Buck
  • Mirjhana Alyce Boggs-Buck
  • Mirjhana Alyce Boggs- Buck

View on SEC IAPD

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