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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 2024-04-16
KY RA APPROVED 2018-11-02
  • TX RA
    APPROVED_RES
    Since 2024-04-16
  • KY RA
    APPROVED
    Since 2018-11-02

Branch Locations

120 South Main Street, Winchester, KY 40391 • United States

128 W Main St, Richmond, KY 40475 • United States

1527 Ewing Rd, Ewing, KY 41039 • United States

525 Walnut Meadow Rd, Berea, KY 40403 • United States

110 N. Maysville St., Mt Sterling, KY 40353 • United States

36 Brookhaven Dr, Flemingsburg, KY 41041 • United States

860 Eastern Byp, Richmond, KY 40475 • United States

125 Winchester Plaza, Winchester, KY 40391 • United States

108 Clark St, Flemingsburg, KY 41041 • 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
J.P. Morgan Securities Llc Lexington KY 02/2014 10/2018
Lpl Financial Llc Winchester KY 11/2018 Present
Communtiy Trust Bank Winchester KY 11/2018 Present
Previous Registrations
Other Businesses

1)11/02/18- Community Trust Financial Services- DBA for LPL Business (entity for LPL business)- Inv. Related - at reported business location(s)- 100% 2) 11/17/2021 - Flaig Farm - Not Investment Related - 2237 Stamping Ground Road, Stamping Ground Kentucky 40379 - Other-Farm - Started 12/01/2021 - 40 Hours Per Month/0 Hours During Securities Trading - Purchase a home that has 9 acres, using it to farm cattle and breed dogs.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-28
S63 Uniform Securities Agent State Law Examination 1992-11-18
  • S66 Uniform Combined State Law Examination
    2014-02-28
  • S63 Uniform Securities Agent State Law Examination
    1992-11-18

View on SEC IAPD

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