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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2016-11-02
  • SC RA
    APPROVED
    Since 2016-11-02

Branch Locations

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

Fort Mill, SC • 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
Lpl Financial Charlotte NC 07/2010 Present
  • 07/2010 → Present
    Lpl Financial
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-29
S66 Uniform Combined State Law Examination 2002-10-24
  • S65 Uniform Investment Adviser Law Examination
    2011-12-29
  • S66 Uniform Combined State Law Examination
    2002-10-24

View on SEC IAPD

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