Katherine Jones

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
DE	RA	APPROVED	2024-01-02

DE RA
APPROVED

Since 2024-01-02

Branch Locations

139 South State Street, Dover, DE 19901 • United States

405 West Main Street, Middletown, DE 19709 • United States

Wyoming, DE • United States

600 Jimmy Drive, Smyrna, DE 19977 • United States

1001 East Lebanon Road, Dover, DE 19901 • 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

Organization	City	State	From	To
M&T Bank	Dover	DE	01/2016	Present
Lpl Financial Llc	Dover	DE	11/2021	Present

01/2016 → Present

M&T Bank

Dover, DE
11/2021 → Present

Lpl Financial Llc

Dover, DE

Other Businesses

1) 11/16/2021 - M&T Financial Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 11/16/2021 - M&T BANK - Inv Rel - At Reported Business Location(s) - Start: 01/2016 - 160 Hr/Mth 3) 11/16/2021 - Notary - Inv Rel - State of Delaware - Start: 06/28/2017 - 4 Hr/Mth 4) 03/01/2024 - WILMINGTON ADVISORS @ M&T - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/01/2024 - 40 Hours Per Month/ 40 Hours During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-12-29

S66 Uniform Combined State Law Examination

2023-12-29