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Gary Thomas Collins

LPl Financial LLC

Waxhaw, NC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2009-07-08
NC RA APPROVED 2009-06-12
  • TX RA
    APPROVED
    Since 2009-07-08
  • NC RA
    APPROVED
    Since 2009-06-12

Branch Locations

102-C Waxhaw Professional Park Ste 100, Waxhaw, NC 28173 • 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
Lpl Financial Llc Charlotte NC 06/2009 Present
Previous Registrations
  • 2009-06-01 → 2009-06-15
    Charlotte, NC
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Stuart, FL
    Charlotte, NC
  • 2005-01-19 → 2007-04-02
    Morgan Stanley Dw Inc.
    Stuart, FL
    Stuart, FL
  • 1993-07-31 → 2005-01-13
    Stuart, FL
Other Businesses

1. 05/15/2009: STONEBRIDGE FINANCIAL GROUP, LLC - INV REL - 10801 JOHNSTON RD STE 216 CHARLOTTE, NC 28226-7856 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 2. 05/16/2012: STONEBRIDGE CAPITAL MANAGEMENT, INC. - INV REL - 10801 JOHNSTON RD STE 216, CHARLOTTE, NC 28226-7856 - REAL ESTATE RENTAL - 1% OF TIME SPENT - OWNER 3. 08/06/2014: NO BUSINESS NAME - NOT INV REL - HOME BASED - NOTARY PUBLIC - START 07/25/2014 - 1 HR/MO NONE DURING SECS TRDG HRS - NORTH CAROLINA STATE NOTARY APPOINTMENT. 4. 11/1/2018 - GTC Wealth America - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/23/2018 - 15 Hours Per Month/5 Hours During Securities Trading. 5. 11/03/2021 - SCM Arms - Investment Related - At Reported Business Location(s) - Business Owner - Start Date: 02/07/2012 - 5 Hours Per Month/0 Hours During Securities Trading - SCM Arms holds an ATF Type 1 Federal Firearms license to buy, sell and manufacture firearms.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-02-28
S63 Uniform Securities Agent State Law Examination 1993-11-05
  • S65 Uniform Investment Adviser Law Examination
    1994-02-28
  • S63 Uniform Securities Agent State Law Examination
    1993-11-05

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