Charlton Kenneth Rochester

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
AL	RA	APPROVED	2007-09-25

AL RA
APPROVED

Since 2007-09-25

Branch Locations

7600 Hwy 72 W, Suite 201, Madison, AL 35758 • 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

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)	Madison	AL	09/2007	Present

09/2007 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Madison, AL

Previous Registrations

2003-01-28 → 2007-09-24

Raymond James Financial Services, Inc.

Decatur, AL

Decatur, AL
1998-09-15 → 2002-11-25

Morgan Stanley Dw Inc.

Huntsville, AL

Other Businesses

1. 4/8/2020 - Dixon Wells - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 01/01/2020 - 5 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-03-20
S63	Uniform Securities Agent State Law Examination	1998-03-18

S65 Uniform Investment Adviser Law Examination

1998-03-20
S63 Uniform Securities Agent State Law Examination

1998-03-18

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews