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Catherine Shaner Carlock

LPl Financial LLC

Lexington, VA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-01-31
VA RA APPROVED 2018-01-31
  • TX RA
    APPROVED_RES
    Since 2018-01-31
  • VA RA
    APPROVED
    Since 2018-01-31

Branch Locations

87 Falcon Lane, Lexington, VA 24450 • 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 Lexington VA 01/2009 11/2017
The Main Street Group Lexington VA 10/2015 12/2017
Kestra Financial, Inc. Lexington VA 11/2017 12/2017
Lpl Financial Llc Lexington VA 01/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-18
  • S66 Uniform Combined State Law Examination
    2007-04-18
Other Names
  • Catherine Elizabeth Shaner

View on SEC IAPD

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