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Caralyn Vansice Balthrop

LPl Financial LLC

Chattanooga, TN

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2025-08-21
  • TN RA
    APPROVED
    Since 2025-08-21

Branch Locations

2034 Hamilton Place Blvd. Suite 160, Chattanooga, TN 37421 • 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
First Tennessee Brokerage, Inc. Chattanooga TN 12/2009 Present
Lpl Financial Llc Chattanooga TN 08/2025 Present
  • 12/2009 → Present
    First Tennessee Brokerage, Inc.
    Chattanooga, TN
  • 08/2025 → Present
    Chattanooga, TN
Previous Registrations
  • 2023-07-25 → 2025-08-21
    First Horizon Advisors, Inc.
    Chattanooga, TN
Other Businesses

1- 08/21/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name First Horizon Advisors - Investment Related - At reported Business Location(s) - Start Date 07/28/2025 - 160 hours per month/ during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-07-18
S66 Uniform Combined State Law Examination 2023-06-09
S63 Uniform Securities Agent State Law Examination 1998-08-24
  • S65 Uniform Investment Adviser Law Examination
    2023-07-18
  • S66 Uniform Combined State Law Examination
    2023-06-09
  • S63 Uniform Securities Agent State Law Examination
    1998-08-24
Other Names
  • Caralyn Maria Vansice
  • Cara Maria Vansice

View on SEC IAPD

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