Joseph H Gompers

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-04-01

CA RA
APPROVED

Since 2024-04-01

Branch Locations

16789 Bernardo Center Dr, San Diego, CA 92128 • 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
Lpl Financial Llc	San Diego	CA	05/2023	Present
New York Life Insurance Company	Roanoke	VA	03/2021	04/2023
Carofin	Brevard	NC	09/2020	02/2021
Full-Time Student	Asheville	NC	08/2012	08/2020

05/2023 → Present

Lpl Financial Llc

San Diego, CA
03/2021 → 04/2023

New York Life Insurance Company

Roanoke, VA
09/2020 → 02/2021

Carofin

Brevard, NC
08/2012 → 08/2020

Full-Time Student

Asheville, NC

Other Businesses

1) 06/2023 - Lucia Capital Group / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - Start date 05/23/2023 - 160 Hrs per month

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-04-01

S66 Uniform Combined State Law Examination

2024-04-01

Other Names

Joseph Henry Gompers
Hank Gompers

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews