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Benjamin Brockinton Fraser

LPl Financial LLC

Fort Mill, SC

Charlotte, NC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2018-08-13
  • SC RA
    APPROVED
    Since 2018-08-13

Branch Locations

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

Charlotte, NC • 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
Metlife Securities Inc Charlotte NC 12/2014 07/2018
Mml Investors Services, Llc Charlotte NC 03/2017 07/2018
Lpl Financial Llc Fort Mill SC 07/2018 Present
Previous Registrations
  • 2017-03-25 → 2018-05-08
    Mml Investors Services, Llc
    Charlotte, NC
  • 2015-07-08 → 2017-03-25
    Msi Financial Services, Inc.
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-06-26
S63 Uniform Securities Agent State Law Examination 2012-09-07
  • S65 Uniform Investment Adviser Law Examination
    2015-06-26
  • S63 Uniform Securities Agent State Law Examination
    2012-09-07
Other Names
  • Benjamin Fraser
  • Brock Fraser

View on SEC IAPD

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CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
EDWARD JONES
SCHWAB WEALTH ADVISORY, INC.
PFS INVESTMENTS INC.

Other Investors

ALPESH JITENDRA PATEL
Tamrah Jennifer Bordini
MATTHEW N WALLEN
RAMIRO IGNACIO PARES
NILDA MELGAREJO DE BOYRIE
STEVEN Samuel SHANEYFELT
Katie Wineski Riegel
Christopher Wayne McAlister

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mill, SC
BELLEAIR WEALTH MANAGEMENT, LLC · Fort Mill, SC
WEALTHCARE ADVISORY PARTNERS LLC · Fort Mill, SC
INSIGHT SECURITIES, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
EDWARD JONES · FORT MILL, SC

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