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Tanya Michelle Carroll

LPl Financial LLC

Winter Park, FL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-03-22
TX RA APPROVED 2024-03-21
  • FL RA
    APPROVED
    Since 2024-03-22
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

1270 Orange Ave, Ste A, Winter Park, FL 32789 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Winter Park FL 07/2015 03/2024
Lpl Financial Winter Park FL 03/2024 Present
Previous Registrations
Other Businesses

1) 03/2024 - Grafton Wealth Advisors / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 100% Time Spent

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-20
  • S66 Uniform Combined State Law Examination
    2003-05-20
Other Names
  • Tanya Michelle Kiener
  • Tanya Michelle Bradley
  • Tanya Michelle Baker
  • Tanya Michelle Kiener-Baker

View on SEC IAPD

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