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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MS RA APPROVED 2025-01-01
TX RA APPROVED_RES 2023-07-05
  • MS RA
    APPROVED
    Since 2025-01-01
  • TX RA
    APPROVED_RES
    Since 2023-07-05

Branch Locations

610 West Pine St. Suite 3, Hattiesburg, MS 39401 • United States

633 Delmas Ave. Suite B, Pascagoula, MS 39567 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Sterne Agee Financial Services Inc Pascagoula MS 07/2009 07/2023
Sterne Agee Financial Services Inc Pascagoula MS 07/2009 07/2023
Sterne Agee Investment Advisor Services, Inc. Birmingham AL 06/2016 07/2023
Lpl Financial Llc Pascagoula MS 07/2023 Present
  • 07/2009 → 07/2023
    Sterne Agee Financial Services Inc
    Pascagoula, MS
  • 07/2009 → 07/2023
    Sterne Agee Financial Services Inc
    Pascagoula, MS
  • 06/2016 → 07/2023
    Sterne Agee Investment Advisor Services, Inc.
    Birmingham, AL
  • 07/2023 → Present
    Pascagoula, MS
Previous Registrations
  • 2016-06-30 → 2023-07-05
    Pascagoula, MS
    Birmingham, AL
  • 2009-07-06 → 2016-06-30
    Intl Advisory Consultants Inc.
    Birmingham, AL
    Pasagoula, MS
  • 2008-01-01 → 2009-07-06
    Pascagoula, MS
  • 2003-12-04 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Pascagoula, MS
    Pascagoula, MS
    St. Louis, MO
Other Businesses

1) 06/2023 - REYNOLDS - BRADSHAW & ASSOCIATES / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 2) 06/2023 - MS CFS / Non-Variable Insurance / Inv. Related / Pascagoula, MS / Start date 06/01/1998 - Hrs per month 1/2 3) 06/2023 - MS CFS, LLC / Business Entity For Tax/Investment Purposes Only / Not Investment Related / Pascagiula, MS / Start date 06/01/1998 - 30 hrs per month 4) 06/2023 - Radio Broadcasting / Outside/W-2 Employment / Not Investment Related / Pascagiula, MS - Start date 09/23/2023 - 5) 06/2023 - MiMIC Mississippi Management Investment Company / Real Estate Rental / Investment Related / Pascagoula, MS - start date - 06/03/2021 6) 06/2023 - WWR, LLC / Business Entity / Not Investment Related / Pascaoual, MS - Start date 05/02/2023 -

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-01
S63 Uniform Securities Agent State Law Examination 1998-08-21
  • S66 Uniform Combined State Law Examination
    2003-12-01
  • S63 Uniform Securities Agent State Law Examination
    1998-08-21

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