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Carl Brent Anthony

LPl Financial LLC

Fayetteville, NC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2021-09-28
  • NC RA
    APPROVED
    Since 2021-09-28

Branch Locations

225 Green St Ste 203, Fayetteville, NC 28301 • 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
Axa Advisors, Llc New York NY 01/2004 06/2017
Principal Life Insurance Company Fayetteville NC 06/2017 09/2021
Principal Securities Inc Fayetteville NC 06/2017 09/2021
Lpl Financial, Llc Fayetteville NC 09/2021 Present
Lumbee Guaranty Bank Fayetteville NC 09/2021 08/2024
  • 01/2004 → 06/2017
    Axa Advisors, Llc
    New York, NY
  • 06/2017 → 09/2021
    Principal Life Insurance Company
    Fayetteville, NC
  • 06/2017 → 09/2021
    Principal Securities Inc
    Fayetteville, NC
  • 09/2021 → Present
    Lpl Financial, Llc
    Fayetteville, NC
  • 09/2021 → 08/2024
    Lumbee Guaranty Bank
    Fayetteville, NC
Previous Registrations
Other Businesses

1) 9/2021 - DBA for LPL Business (entity for LPL business) - Lumbee Guaranty Financial Services - Investment Related - Fayetteville, NC 28304

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-03-11
  • S66 Uniform Combined State Law Examination
    2004-03-11
Other Names
  • Carl B Anthony

View on SEC IAPD

Other Firms

WELLS FARGO CLEARING SERVICES, LLC
D.A. DAVIDSON & CO.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CREDIT UNION INVESTMENT SERVICES
EDWARD JONES
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
MORGAN STANLEY
TRUIST ADVISORY SERVICES, INC.

Other Investors

SCOTT JOHN AZZARELLI
EDWIN JACKSON WAREN
DAVID ANTHONY SHELDON
JANE WILLIAMSON SMITH
CHRISTIAN J FRANCO
FRANK L RAMEY
TERESA MCFADDEN ELLIOTT
JORDAN LEWIS ETHINGTON

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · FAYETTEVILLE, NC
WELLS FARGO CLEARING SERVICES, LLC · FAYETTEVILLE, NC
D.A. DAVIDSON & CO. · FAYETTEVILLE, NC
LPL FINANCIAL LLC · FAYETTEVILLE, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FAYETTEVILLE, NC
CREDIT UNION INVESTMENT SERVICES · Fayettteville, NC
CREDIT UNION INVESTMENT SERVICES · Fayetteville, NC
EDWARD JONES · FAYETTEVILLE, NC

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