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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2026-02-12
AL RA APPROVED 2025-02-19
  • GA RA
    APPROVED
    Since 2026-02-12
  • AL RA
    APPROVED
    Since 2025-02-19

Branch Locations

255 Grant St Se, Decatur, AL 35601 • United States

2000 Meadow Lake Dr, Birmingham, AL 35242 • United States

2519 12Th St, Tuscaloosa, AL 35401 • United States

8337 Hwy 72 W, Madison, AL 35758 • United States

1360 Montgomery Hwy Ste 100, Vestavia Hills, AL 35216 • United States

230 E Tennessee St, Florence, AL 35630 • United States

2746 Carl T Jones Dr Se, Huntsville, AL 35802 • United States

201 Williams Ave Sw, Huntsville, AL 35801 • United States

6600 Mcginnis Ferry Rd, Duluth, GA 30097 • United States

1539 Us Hwy 98, Ste 202, Daphne, AL 36526 • United States

2121 Highland Ave S, Birmingham, AL 35205 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Regions Bank Birmingham AL 01/2013 08/2020
Cetera Investment Services Llc St. Cloud MN 01/2013 08/2020
Cetera Investment Advisers Llc Birmingham AL 01/2014 08/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Birmingham AL 08/2020 01/2024
Bank Of America N.A. Birmingham AL 11/2020 01/2024
Fisher Investments Plano TX 01/2024 12/2024
Unemployed Birmingham AL 01/2025 02/2025
Lpl Financial Llc Birmingham AL 02/2025 Present
United Community Bank Birmingham AL 02/2025 Present
Previous Registrations
Other Businesses

1.07/16/2025 - United Community Advisors - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location (s) - Start date: 08/02/2023 - 160 hr/mnth 120 during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-08-17
S63 Uniform Securities Agent State Law Examination 1999-07-15
  • S66 Uniform Combined State Law Examination
    2012-08-17
  • S63 Uniform Securities Agent State Law Examination
    1999-07-15
Other Names
  • Lance Christopher Ernest
  • Lance C Ernest

View on SEC IAPD

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