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Samuel Whitfield Hodges

LPl Financial LLC

Roanoke, VA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2021-04-06
  • VA RA
    APPROVED
    Since 2021-04-06

Branch Locations

2650 Electric Road, Suite D, Roanoke, VA 24018 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Suntrust Investment Services, Inc Atlanta GA 07/2016 03/2021
Lpl Financial, Llc Roanoke VA 04/2021 Present
  • 07/2016 → 03/2021
    Suntrust Investment Services, Inc
    Atlanta, GA
  • 04/2021 → Present
    Lpl Financial, Llc
    Roanoke, VA
Previous Registrations
  • 2016-07-29 → 2021-04-06
    Truist Advisory Services, Inc.
    Vinton, VA
    Roanoke, VA
    Forest, VA
    Forest, VA
    Vinton, VA
    Hardy, VA
    Madison Heights, VA
    Vinton, VA
    Salem, VA
    Radford, VA
    Salem, VA
  • 2016-08-02 → 2016-12-31
    Truist Investment Services, Inc.
    Vinton, VA
    Roanoke, VA
    Forest, VA
    Forest, VA
    Vinton, VA
    Hardy, VA
    Madison Heights, VA
    Salem, VA
    Roanoke, VA
    Radford, VA
    Salem, VA
  • 2014-06-18 → 2016-08-02
    Raymond James Financial Services Advisors, Inc
    Bedford, VA
    Roanoke, VA
    Roanoke, VA
  • 2014-01-21 → 2014-06-18
    Cetera Investment Advisers Llc
    Bedford, VA
  • 2013-01-11 → 2014-01-21
    Cetera Investment Services Llc
    St Cloud, MN
    Roanoke, VA
    Bedford, VA
  • 2009-12-14 → 2013-01-07
    Msi Financial Services, Inc.
    Roanoke, VA
Other Businesses

1. 04/05/2021 - RIVER BIRCH WEALTH MANAGEMENT LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 100%/ ROANOKE, VA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-03
S63 Uniform Securities Agent State Law Examination 2008-01-05
  • S65 Uniform Investment Adviser Law Examination
    2009-12-03
  • S63 Uniform Securities Agent State Law Examination
    2008-01-05
Other Names
  • Sam Hodges
  • Samuel Hodges

View on SEC IAPD

Other Firms

COMMONWEALTH FINANCIAL NETWORK
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CETERA INVESTMENT ADVISERS LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
TRUIST ADVISORY SERVICES, INC.
HORNOR, TOWNSEND & KENT, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
GENEOS WEALTH MANAGEMENT, INC.

Other Investors

STEPHANIE S FRALIN
JOHN BARTON EDMUNDS
JOHN ROBERT BRADBERRY
john aston edmunds
Stephen Berry
Brandon Burk Williams
Brian Barrows
ELIZABETH ROBERTS THOMAS

Other Offices

COMMONWEALTH FINANCIAL NETWORK · Roanoke, VA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Roanoke, VA
CETERA INVESTMENT ADVISERS LLC · CAVE SPRING, VA
STATE FARM INVESTMENT MANAGEMENT CORP. · Roanoke, VA
TRUIST ADVISORY SERVICES, INC. · ROANOKE, VA
TRUIST ADVISORY SERVICES, INC. · ROANOKE, VA
LPL FINANCIAL LLC · ROANOKE, VA
HORNOR, TOWNSEND & KENT, LLC · ROANOKE, VA

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