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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2019-02-26
  • PA RA
    APPROVED
    Since 2019-02-26

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Bensalem, PA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Lpl Financial Bensalem PA 05/2013 02/2019
Private Advisor Group, Llc Morristown NJ 06/2013 02/2019
Lpl Financial Llc San Diego CA 02/2019 Present
Previous Registrations
  • 2013-06-14 → 2019-02-27
    Bensalem, PA
    Morristown, NJ
  • 2008-10-30 → 2013-06-03
    Bensalem, PA
    Philadelphia, PA
    Bristol, PA
    Bensalem, PA
    Hilton Head Island, SC
    Morrisville, PA
  • 2005-01-19 → 2008-10-20
    Uvest Financial Services Group, Inc.
    Plymouth Meeting, PA
    Plymouth Meeting, PA
  • 2004-03-22 → 2005-01-21
    Whitehouse Station, NJ
  • 2003-03-11 → 2004-03-29
    Uvest Financial Services Group, Inc.
    Whitehouse Station, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-27
S63 Uniform Securities Agent State Law Examination 1992-01-23
  • S65 Uniform Investment Adviser Law Examination
    1997-02-27
  • S63 Uniform Securities Agent State Law Examination
    1992-01-23

View on SEC IAPD

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