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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-06-12
  • NC RA
    APPROVED
    Since 2023-06-12

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
Lpl Financial Llc Fort Mill SC 07/2016 10/2018
Fisher Investments Camas WA 11/2018 02/2023
Lpl Financial Llc Charlotte NC 02/2023 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-12-02
S66 Uniform Combined State Law Examination 2017-12-23
  • S63 Uniform Securities Agent State Law Examination
    2023-12-02
  • S66 Uniform Combined State Law Examination
    2017-12-23

View on SEC IAPD

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