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Joseph Martin Pay

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
TX RA APPROVED_RES 2023-03-06
NC RA APPROVED 2023-03-01
  • TX RA
    APPROVED_RES
    Since 2023-03-06
  • NC RA
    APPROVED
    Since 2023-03-01

Branch Locations

6101 Carnegie Blvd. Suite 520, Charlotte, NC 28209 • 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
Wells Fargo Advisors Llc Charlotte NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 01/2023
Lpl Financial Llc Charlotte NC 03/2023 Present
Previous Registrations
Other Businesses

1) 01/11/2023 - Carnegie Private Wealth - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-01-27
  • S66 Uniform Combined State Law Examination
    2005-01-27

View on SEC IAPD

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