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Matthew Alan Plumley

LPl Financial LLC

Paris, TN

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2018-02-14
  • TN RA
    APPROVED
    Since 2018-02-14

Branch Locations

1103 East Wood St, Paris, TN 38242 • 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
Invest Financial Corporation Paris TN 04/2010 02/2018
Lpl Financial Llc Paris TN 02/2018 Present
  • 04/2010 → 02/2018
    Invest Financial Corporation
    Paris, TN
  • 02/2018 → Present
    Paris, TN
Previous Registrations
  • 2010-04-29 → 2018-02-14
    Invest Financial Corporation
    Paris, TN
    Murfreesboro, TN
  • 2005-08-01 → 2010-04-29
    Msi Financial Services, Inc.
    Paris, TN
    Memphis, TN
Other Businesses

1. 08/08/2019 - PWA - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 08/07/2019 - 0 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-01
S63 Uniform Securities Agent State Law Examination 2003-02-14
  • S66 Uniform Combined State Law Examination
    2005-07-01
  • S63 Uniform Securities Agent State Law Examination
    2003-02-14

View on SEC IAPD

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