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Charles Lee Plog

LPl Financial LLC

Folsom, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-01
TX RA APPROVED_RES 2021-07-15
  • CA RA
    APPROVED
    Since 2025-01-01
  • TX RA
    APPROVED_RES
    Since 2021-07-15

Branch Locations

1130 Iron Point Rd Ste 135, Folsom, CA 95630 • United States

Disclosures

1 disclosure category 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 No
Employment History
OrganizationCityStateFromTo
Linsco Private Ledger Folsum CA 06/2002 Present
  • 06/2002 → Present
    Linsco Private Ledger
    Folsum, CA
Previous Registrations
  • 2000-06-07 → 2002-06-06
    Prudential Equity Group, Llc
    Roseville, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-12
S63 Uniform Securities Agent State Law Examination 1991-12-03
  • S65 Uniform Investment Adviser Law Examination
    1999-07-12
  • S63 Uniform Securities Agent State Law Examination
    1991-12-03
Other Names
  • Chuck Plog
  • Chuck Lee Plog
  • Charles Lee Plog

View on SEC IAPD

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WELLS FARGO CLEARING SERVICES, LLC
MATHEWS CAPITAL MANAGEMENT
COMMONWEALTH FINANCIAL NETWORK

Other Investors

Katie Louise Latour
Harold Kuk Rhee
Edwin Shanil Kumar
ERIKA PANDY
JOEL PATRICK DUCORE
GREGORY CURTIS JUNG
JAIME ELIZABETH BARRETTA
DWAINE HAROLD BAASCH

Other Offices

U.S. BANCORP ADVISORS, LLC · Folsom, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FOLSOM, CA
J.P. MORGAN SECURITIES LLC · FOLSOM, CA
MONETA VENTURES, LLC · FOLSOM, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Folsom, CA
LPL FINANCIAL LLC · FOLSOM, CA
LPL FINANCIAL LLC · FOLSOM, CA
WELLS FARGO CLEARING SERVICES, LLC · FOLSOM, CA

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