Brian Michael Pflaum

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-06-10
AL	RA	APPROVED	2024-03-07

TX RA
APPROVED_RES

Since 2025-06-10
AL RA
APPROVED

Since 2024-03-07

Branch Locations

Birmingham, AL • 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	Birmingham	AL	03/2024	Present
Lincoln Financial Advisors Corporation	Birmingham	AL	02/1998	03/2024

03/2024 → Present

Lpl Financial Llc

Birmingham, AL
02/1998 → 03/2024

Lincoln Financial Advisors Corporation

Birmingham, AL

Previous Registrations

2000-04-25 → 2024-03-06

Osaic Fa, Inc.

Birmingham, AL

Birmingham, AL

Other Businesses

1- 02/2024 / Matrix Wealth Management / Business Entity For Tax/Investment Purposes Only / Not Investment Related / 0 hrs mth / 0 hrs during trading / Start date: 10/2003 2- 02/2024 / TPG Private Wealth / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 3- 02/2024 / TPG Private Wealth / Non-Variable Insurance / Investment Related / 20 hrs mth / 1 hr during trading / Start date: 02/12/2024 4- 08/23/2024 - TPC Private Wealth - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/02/2024 - 160 Hours per Month/ 8 Hours During Trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1998-03-04

S63 Uniform Securities Agent State Law Examination

1998-03-04

View on SEC IAPD