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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2026-07-22
SC RA APPROVED 2026-02-17
NC RA APPROVED 2026-02-06
FL RA APPROVED 2025-08-22
  • VA RA
    APPROVED
    Since 2026-07-22
  • SC RA
    APPROVED
    Since 2026-02-17
  • NC RA
    APPROVED
    Since 2026-02-06
  • FL RA
    APPROVED
    Since 2025-08-22

Branch Locations

1 Glenwood Ave 8Th Floor, Raleigh, NC 27603 • United States

250 A1A N Ste 300, Ponte Vedra Beach, FL 32082 • United States

101 Sunset Ave Flr 2, Asheboro, NC 27203 • United States

101 Sunset Ave, Asheboro, NC 27203 • United States

1000 S Main St, Kernersville, NC 27284 • United States

101 S. Stratford Rd, Winston Salem, NC 27104 • United States

1 Alhambra Plaza Ste 800, Coral Gables, FL 33134 • United States

2841 W Us Highway 421, Wilkesboro, NC 28697 • United States

450 E Las Olas Blvd. Suite 1220, Fort Lauderdale, FL 33301 • United States

1751 Hendersonville Road, Asheville, NC 28803 • United States

201 North Franklin Street Suite 100, Tampa, FL 33602 • United States

201 S Estes Dr, Chapel Hill, NC 27514 • United States

Leland, NC • United States

1151 Falls River Ave Ste 101, Raleigh, NC 27614 • United States

126 W. Franklin St., Chapel Hill, NC 27516 • United States

1420 2Nd Street Ne, Hickory, NC 28601 • United States

8181 S. Tamiami Trail, Sarasota, FL 34231 • United States

1201 S Andrews Ave, Ft Lauderdale, FL 33316 • United States

4725 Piedmont Row Drive Suite 400, Charlotte, NC 28210 • United States

500 W. 5Th Street Ste 1320, Winston Salem, NC 27101 • United States

One Alhambra Plaza Suite 800, Coral Gables, FL 33134 • United States

35 Ocean Reef Dr Ste 100, Key Largo, FL 33037 • United States

1801 N Military Trail #100A, Boca Raton, FL 33431 • United States

325 Leola St, Boone, NC 28607 • United States

28 Bridgeside Blvd Suite 100, Mt. Pleasant, SC 29464 • United States

315 E. Robinson St. Suite 350, Orlando, FL 32801 • United States

260 S Churton St, Hillsborough, NC 27278 • United States

204 East Main St, Seagrove, NC 27341 • United States

1821 Hillandale Rd, Durham, NC 27705 • United States

210 Knob Hill Rd, Mooresville, NC 28117 • United States

207 S Madison Blvd, Roxboro, NC 27573 • United States

114 W Blue Ridge St, Stuart, VA 24171 • United States

330 Whitehead St, Key West, FL 33040 • 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
First-Citizens Bank & Trust Company Raleigh NC 05/2003 01/2022
First Citizens Investor Services, Inc. Raleigh NC 05/2003 01/2022
First Horizon Advisors Raleigh NC 02/2022 Present
Lpl Financial Llc Raleigh NC 08/2025 Present
Previous Registrations
  • 2022-02-03 → 2025-08-21
    First Horizon Advisors, Inc.
    Raleigh, NC
    Ponte Vedra Beach, FL
    Tampa, FL
  • 2004-06-22 → 2022-01-31
    Raleigh, NC
    Raleigh, NC
    Raleigh, NC
    Charlotte, NC
Other Businesses

1- 08/21/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name First Horizon Advisors - Investment Related - At reported Business Location(s) - Start Date 07/24/2025 - 160 hours per month/ during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-06-15
  • S66 Uniform Combined State Law Examination
    2004-06-15
Other Names
  • Dennis Frances Fingers
  • Denny Fingers
  • Dennis Francis Fingers

View on SEC IAPD

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