Austin D Babb

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
KY	RA	APPROVED	2011-05-18

KY RA
APPROVED

Since 2011-05-18

Branch Locations

3217 Summit Square Pl Ste 250, Lexington, KY 40509 • 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

Organization	City	State	From	To
Lpl Financial	Lexington	KY	02/2011	Present

02/2011 → Present

Lpl Financial

Lexington, KY

Other Businesses

1. 05/20/2011 - DBA ONLY, SALOMON & CO. 2. 3/26/2013: NON-VARIABLE INSURANCE - SALOMON & CO. - ACT AS AGENT ON FIXED INSURANCE BUSINESS USING DBA SALOMON & CO. - TIME SPENT 10% - LEXINGTON, KY.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-05-17
S63	Uniform Securities Agent State Law Examination	2008-08-25

S65 Uniform Investment Adviser Law Examination

2011-05-17
S63 Uniform Securities Agent State Law Examination

2008-08-25

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

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