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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2025-01-14
TX RA APPROVED_RES 2021-04-05
NC RA APPROVED 2011-07-05
  • IN RA
    APPROVED
    Since 2025-01-14
  • TX RA
    APPROVED_RES
    Since 2021-04-05
  • NC RA
    APPROVED
    Since 2011-07-05

Branch Locations

714 Oakland St, Hendersonville, NC 28791 • United States

Kokomo, IN • 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
Asheville Savings Bank Hendersonville NC 11/2009 02/2018
Lpl Financial Llc Hendersonville NC 07/2011 Present
Hometrust Bank Hendersonville NC 11/2017 Present
  • 11/2009 → 02/2018
    Asheville Savings Bank
    Hendersonville, NC
  • 07/2011 → Present
    Hendersonville, NC
  • 11/2017 → Present
    Hometrust Bank
    Hendersonville, NC
Previous Registrations
  • 2009-11-10 → 2011-07-05
    Uvest Financial Services Group, Inc.
    Brevard, NC
    Candler, NC
    Fletcher, NC
    Asheville, NC
    Asheville, NC
    Hendersonville, NC
    Hendersonville, NC
    Charlotte, NC
    Asheville, NC
  • 2008-09-16 → 2009-06-02
    Bb&T Investment Services, Inc.
    Charlotte, NC
    Waynesville, NC
    Asheville, NC
  • 2005-11-09 → 2008-09-19
    Truist Investment Services, Inc.
    Canton, NC
    Hendersonville, NC
    Asheville, NC
    Hendersonville, NC
    Waynesville, NC
    Arden, NC
    Asheville, NC
    Asheville, NC
    Sylva, NC
    Hendersonville, NC
    Weaverville, NC
    Hendersonville, NC
    Asheville, NC
    Black Mountain, NC
    Asheville, NC
    Asheville, NC
    Asheville, NC
    Asheville, NC
  • 2003-11-14 → 2005-11-02
    Durham, NC
Other Businesses

1. 1/20/2021 - IAMS, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Independent Producer - Started 01/19/2021 - 4 Hours Per Month During Securities Trading 2. 08/17/2023 - Westland Financial Services, Inc - Non-Variable Insurance - Producer - Investment Related - At Reported Business Location(s) - Start Date 08/07/2023 - 8 Hours Per Month/ 1 Hour During Trading 3. 09/22/2025 - SWF FINANCIAL SERVICES, LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2025 - 40 Hours Per Month/ 40 Hour During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-11-13
S65 Uniform Investment Adviser Law Examination 1999-07-01
S63 Uniform Securities Agent State Law Examination 1997-11-06
  • S66 Uniform Combined State Law Examination
    2003-11-13
  • S65 Uniform Investment Adviser Law Examination
    1999-07-01
  • S63 Uniform Securities Agent State Law Examination
    1997-11-06

View on SEC IAPD

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