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Steven Sutton

LPl Financial LLC

Charlotte, NC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2021-07-21
  • NC RA
    APPROVED
    Since 2021-07-21

Branch Locations

5950 Fairview Rd Ste 250, Charlotte, NC 28210 • 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
Waddell & Reed Shawnee Mission KS 07/2016 06/2018
Waddell & Reed, Inc Charlotte NC 06/2018 07/2021
Thomas Atkinson Charlotte NC 05/2019 07/2021
Self Employed Charlotte NC 07/2016 07/2021
Various Insurance Carriers For W&R Insurance Agencies Charlotte NC 05/2019 07/2021
Waddell And Reed Shawnee Mission KS 07/2016 06/2018
Lpl Financial Llc Charlotte NC 07/2021 Present
  • 07/2016 → 06/2018
    Waddell & Reed
    Shawnee Mission, KS
  • 06/2018 → 07/2021
    Waddell & Reed, Inc
    Charlotte, NC
  • 05/2019 → 07/2021
    Thomas Atkinson
    Charlotte, NC
  • 07/2016 → 07/2021
    Self Employed
    Charlotte, NC
  • 05/2019 → 07/2021
    Various Insurance Carriers For W&R Insurance Agencies
    Charlotte, NC
  • 07/2016 → 06/2018
    Waddell And Reed
    Shawnee Mission, KS
  • 07/2021 → Present
    Lpl Financial Llc
    Charlotte, NC
Previous Registrations
  • 2018-12-18 → 2021-07-21
    Waddell & Reed
    Charleroi, PA
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-18
  • S66 Uniform Combined State Law Examination
    2018-12-18
Other Names
  • Steven Lee Sutton

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
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