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Celeste S Norris

LPl Financial LLC

Tempe, AZ

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2024-11-12
SC RA APPROVED 2021-10-19
TX RA APPROVED_RES 2021-10-19
  • AZ RA
    APPROVED
    Since 2024-11-12
  • SC RA
    APPROVED
    Since 2021-10-19
  • TX RA
    APPROVED_RES
    Since 2021-10-19

Branch Locations

500 E Rio Salado Pkwy Bldg 4 3 Fl, Tempe, AZ 85281 • 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 Bank, Na Fort Mill SC 04/2018 09/2021
Wells Fargo Clearing Services, Llc Fort Mill SC 02/2019 09/2021
First Citizens Bank Charlotte NC 05/2016 04/2018
Lpl Financial Llc Fort Mill SC 10/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-07-08
S63 Uniform Securities Agent State Law Examination 2019-06-10
  • S65 Uniform Investment Adviser Law Examination
    2019-07-08
  • S63 Uniform Securities Agent State Law Examination
    2019-06-10
Other Names
  • Celeste Norris
  • Celeste Shaquillia Norris

View on SEC IAPD

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