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Chip Carter Marcus

LPl Financial LLC

Cary, NC

CRD 4186042

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-10-07
NC RA APPROVED 2022-10-06
TX RA APPROVED 2022-10-06
  • FL RA
    APPROVED
    Since 2022-10-07
  • NC RA
    APPROVED
    Since 2022-10-06
  • TX RA
    APPROVED
    Since 2022-10-06

Branch Locations

Cary, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Boca Raton FL 11/2008 10/2022
Bank Of America,Na Boca Raton FL 12/2009 10/2022
Lpl Financial Llc Boca Raton FL 10/2022 Present
  • 11/2008 → 10/2022
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Boca Raton, FL
  • 12/2009 → 10/2022
    Bank Of America,Na
    Boca Raton, FL
  • 10/2022 → Present
    Lpl Financial Llc
    Boca Raton, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-07-07
  • S66 Uniform Combined State Law Examination
    2000-07-07

View on SEC IAPD

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