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Nancy Lee Knight

LPl Financial LLC

Fremont, CA

CRD 5211079

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-27
CA RA APPROVED 2012-01-23
  • TX RA
    APPROVED_RES
    Since 2020-02-27
  • CA RA
    APPROVED
    Since 2012-01-23

Branch Locations

Fremont, CA • 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 Llc Fremont CA 01/2012 Present
Previous Registrations
  • 2006-11-06 → 2012-01-23
    Edward Jones
    St Louis, MO
    Fremont, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-30
  • S66 Uniform Combined State Law Examination
    2006-10-30
Other Names
  • Nancy Knight

View on SEC IAPD

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