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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-07-10
AL RA APPROVED 2013-02-01
  • TX RA
    APPROVED_RES
    Since 2014-07-10
  • AL RA
    APPROVED
    Since 2013-02-01

Branch Locations

107 Inverness Corners, Inverness, AL 35242 • United States

3513 Pelham Pkwy, Pelham, AL 35124 • United States

16623 Hwy 280, Chelsea, AL 35043 • United States

106 E. College St, Columbiana, AL 35051 • United States

2518 University Blvd, Tuscaloosa, AL 35401 • United States

3216 20Th Avenue, Valley, AL 36854 • United States

135 James Payton Blvd, Sylacauga, AL 35150 • United States

120 8Th Avenue Southwest, Childersburg, AL 35044 • United States

508 Fairhope Ave, Fairhope, AL 36532 • United States

8 Commerce Street, Ste 100, Montgomery, AL 36104 • 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
Renasant Bank Birmingham AL 02/2013 Present
Lpl Birmingham AL 02/2013 Present
  • 02/2013 → Present
    Renasant Bank
    Birmingham, AL
  • 02/2013 → Present
    Lpl
    Birmingham, AL
Previous Registrations
  • 2010-10-15 → 2013-02-04
    Pnc Managed Account Solutions, Inc.
    Houston, TX
  • 2010-04-06 → 2010-10-15
    St Johns Wealth Management
    Birmingham, AL
  • 2008-12-24 → 2010-03-16
    Bbva Compass Investment Solutions, Inc
    Birmingham, AL
    Birmingham, AL
    Birmingham, AL
    Homewood, AL
    Birmingham, AL
    Birmingham, AL
  • 2004-09-03 → 2008-12-16
    Birmingham, AL
    Birmingham, AL
Other Businesses

1. 02/01/2013-DBA ONLY/RENASANT FINANCIAL SERVICES/100%/BIRMINGHAM,AL 2. 06/09/2025 - KEVIN COUCH -Investment Related - Real Estate Rental - Chelsea, AL - Start Date:06/01/2025 - 2 Hrs/Mth - 1 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-01
S63 Uniform Securities Agent State Law Examination 2000-01-15
  • S66 Uniform Combined State Law Examination
    2005-07-01
  • S63 Uniform Securities Agent State Law Examination
    2000-01-15

View on SEC IAPD

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