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Katy E Cleary

LPl Financial LLC

Rehoboth, DE

Harrington, DE

Milton, DE

Lewes, DE

Rehoboth, DE

Georgetown, DE

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2021-06-09
TX RA APPROVED 2021-06-09
  • DE RA
    APPROVED
    Since 2021-06-09
  • TX RA
    APPROVED
    Since 2021-06-09

Branch Locations

302 Rehoboth Avenue, Rehoboth, DE 19971 • United States

1 Clark Street, Harrington, DE 19952 • United States

107 Front Street, Milton, DE 19968 • United States

134 Second Street, Lewes, DE 19952 • United States

19511 Camelot Drive, Rehoboth, DE 19971 • United States

Georgetown, DE • 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
M&T Bank Milton DE 07/2012 Present
M&T Securities Milton DE 07/2012 Present
Lpl Financial Llc Milton DE 06/2021 Present
Lpl Financial Llc Milton DE 06/2021 Present
  • 07/2012 → Present
    M&T Bank
    Milton, DE
  • 07/2012 → Present
    M&T Securities
    Milton, DE
  • 06/2021 → Present
    Lpl Financial Llc
    Milton, DE
  • 06/2021 → Present
    Lpl Financial Llc
    Milton, DE
Previous Registrations
  • 2014-07-02 → 2021-06-09
    M&T Securities, Inc.
    Wilkes-Barre, PA
    Wilmington, DE
    Rehoboth, DE
    Lewes, DE
    Millville, DE
    Milton, DE
    Millsboro, DE
    Rehoboth, DE
    Bethany Beach, DE
    Wilmington, DE
    Wilmington, DE
    Buffalo, NY
    Wilkes-Barre, PA
    Wilmington, DE
    Wilkes-Barre, PA
    Harrington, DE
    Cambridge, MD
    Baltimore, MD
Other Businesses

09/2017- YOUNG LIVING ESSENTIAL OILS DISTRIBUTOR---TYPE OF COMPENSATION RECEIVE FOR THIS BUSINESS ACTIVITY--COMISSION--........PERCENTAGE OF TIME SPENT ON THIS ACTIVITY DURING REGULAR HOURS FOR THIS OBA--0% SPENT.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-07-02
S63 Uniform Securities Agent State Law Examination 2012-06-13
  • S66 Uniform Combined State Law Examination
    2014-07-02
  • S63 Uniform Securities Agent State Law Examination
    2012-06-13
Other Names
  • Katy E Phlegar
  • Katy E Phlegar

View on SEC IAPD

Other Firms

ARKADIOS WEALTH ADVISORS
STATE FARM INVESTMENT MANAGEMENT CORP.
BLUE ROCK FINANCIAL GROUP
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
EDWARD JONES
FOUNDATION WEALTH MANAGEMENT, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
TLG ADVISORS, INC.

Other Investors

BENJAMIN CARNEY BATEMAN
CHRISTOPHER ARTHUR WHITE
TODD ASHLEY ROSELLE
Carter Alan McClung
JUSTIN CLARKE BENNITT
Christopher Allan Owens
SCOTT PRICE MAHONEY
Christopher Wade Thompson

Other Offices

ARKADIOS WEALTH ADVISORS · Rehoboth Beach, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Rehoboth Beach, DE
BLUE ROCK FINANCIAL GROUP · REHOBOTH BEACH, DE
MUTUAL OF OMAHA INVESTOR SERVICES, INC. · Rehoboth Beach, DE
EDWARD JONES · REHOBOTH BEACH, DE
FOUNDATION WEALTH MANAGEMENT, LLC · REHOBOTH BEACH, DE
LPL FINANCIAL LLC · REHOBOTH BEACH, DE
AMERIPRISE FINANCIAL SERVICES, LLC · REHOBOTH BEACH, DE

More in Rehoboth, DE

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