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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 2022-11-09
SC RA APPROVED 2018-09-16
  • TX RA
    APPROVED_RES
    Since 2022-11-09
  • SC RA
    APPROVED
    Since 2018-09-16

Branch Locations

Concord, NC • United States

120 Academy St Ste 102-028, Fort Mill, SC 29715 • 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
Foresters Financial Services Charlotte NC 11/1990 08/2018
Foresters Advisory Services Llc Charlotte NC 07/2013 08/2018
Lpl Financial Llc Fort Mill SC 08/2018 Present
  • 11/1990 → 08/2018
    Foresters Financial Services
    Charlotte, NC
  • 07/2013 → 08/2018
    Foresters Advisory Services Llc
    Charlotte, NC
  • 08/2018 → Present
    Fort Mill, SC
Previous Registrations
  • 2013-07-18 → 2018-09-11
    Foresters Advisory Services, Llc
    Charlotte, NC
Other Businesses

1) 08/13/2018 - Arrow & Bow Wealth Advisors - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 08/2018 - 128 hr/mth 2) 08/13/2018 - Good Life IA - Non-Variable Insurance - inv rel - at reported business location(s) - start: 08/2018 - 32 hr/mth

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-06-19
S63 Uniform Securities Agent State Law Examination 1990-12-21
  • S66 Uniform Combined State Law Examination
    2013-06-19
  • S63 Uniform Securities Agent State Law Examination
    1990-12-21

View on SEC IAPD

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