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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2023-09-13
  • SC RA
    APPROVED
    Since 2023-09-13

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
Jackson National Life Distributors, Llc Franklin TN 08/2016 02/2017
National Planning Holdings Franklin TN 02/2017 01/2018
Lpl Financial, Llc Fort Mill SC 01/2018 Present
  • 08/2016 → 02/2017
    Jackson National Life Distributors, Llc
    Franklin, TN
  • 02/2017 → 01/2018
    National Planning Holdings
    Franklin, TN
  • 01/2018 → Present
    Fort Mill, SC
Previous Registrations
  • 2017-04-17 → 2018-01-10
    National Planning Corporation
    Franklin, TN
  • 2005-12-13 → 2012-06-26
    Murfreesboro, TN
    Franklin, TN
  • 2004-10-05 → 2005-08-04
    Brentwood, TN
  • 2005-02-08 → 2005-07-26
    Emerald Spectrum Advisory, Inc.
    Brentwood, TN
Other Businesses

1. 03/20/2024 - South Carolina Department of Children's Advocacy - Non-Inv Related - Fort Mill, SC - Other - Volunteer Guardian Ad Litem - Started: 9/25/2023 - 10 Hrs/Mo; 0 Hr During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-13
S66 Uniform Combined State Law Examination 2004-09-30
  • S65 Uniform Investment Adviser Law Examination
    2017-04-13
  • S66 Uniform Combined State Law Examination
    2004-09-30
Other Names
  • Stephanie Rose Mullenax
  • Stephanie Rose Mullenax
  • Stephanie Rose Williams
  • Stephanie Rose Williams
  • Stephanie Rose Williams

View on SEC IAPD

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