Troy Benjamin Stubbs

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
AL	RA	APPROVED	2021-05-10

AL RA
APPROVED

Since 2021-05-10

Branch Locations

710 Commercial Parkway, Prattville, AL 36066 • United States

1761 East Main St, Prattville, AL 36066 • United States

211 Highway 82 West Bypass, Prattville, AL 36067 • United States

3300 Alabama Hwy 14, Millbrook, AL 36054 • United States

526 Gilmer Avenue, Tallassee, AL 36078 • United States

9788 Holtville Rd, Wetumpka, AL 36092 • United States

1875Kowaligard, Eclectic, AL 36024 • United States

715 Wilson St., Wetumpka, AL 36092 • 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
Cb&S Bank	Wetumpka	AL	10/2020	03/2021
Elmore County Commission	Wetumpka	AL	11/2016	Present
Frios Gourmet Pops	Wetumpka	AL	10/2015	03/2021
Lpl Financial Llc	Prattville	AL	04/2021	Present
First Community Bank Of Central Alabama	Prattville	AL	03/2021	Present

10/2020 → 03/2021

Cb&S Bank

Wetumpka, AL
11/2016 → Present

Elmore County Commission

Wetumpka, AL
10/2015 → 03/2021

Frios Gourmet Pops

Wetumpka, AL
04/2021 → Present

Lpl Financial Llc

Prattville, AL
03/2021 → Present

First Community Bank Of Central Alabama

Prattville, AL

Other Businesses

1) 4/2021- First Community Bank of Central Alabama- Financial Institution Duty / Financial Advisor- Inv. Related- Prattville, AL -160hrs/mth 2) 4/2021- Real Estate Rental- owner- Non-Inv. Related- Wetumpka, AL- start date 12/1/2019- 5hrs/mth 3) 11/30/2021 - First Community Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/08/2021 - 40 Hours Per Month During Securities Trading 4) 07/03/2023 - Alabama State Legislature - Not Investment Related - 11 South Union Street, Montgomery, AL - Non-Profit Board Member - Alabama State Legislator - Start Date 01/10/2023 - 20 Hours Per Month/ 1 Hour During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-05-05
S63	Uniform Securities Agent State Law Examination	2003-01-27

S66 Uniform Combined State Law Examination

2021-05-05
S63 Uniform Securities Agent State Law Examination

2003-01-27

View on SEC IAPD