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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2018-09-04 |
Branch Locations
2100 Third Avenue N Ste 1100, Birmingham, AL 35203 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Tuscaloosa | AL | 03/2016 | 09/2016 |
| Wachovia Bank, N.A. | Tuscaloosa | AL | 03/2016 | 09/2016 |
| West Alabama Bank & Trust | Tuscaloosa | AL | 09/2016 | 08/2018 |
| Cadence Bank | Birmingham | AL | 08/2018 | Present |
| Lpl Financial Llc | Birmingham | AL | 09/2018 | Present |
1) 09/04/2018 - Cadence Investment Services- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)- 100% 2) 06/06/2024 - Cadence Bank - Inv. Related - At Reported Business Location(s) - Senior Relationship Manager & Team Leader, SVP. - 40 Hrs/Mo; 8 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-11 |
| S63 | Uniform Securities Agent State Law Examination | 2007-09-28 |
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