Bruce Alvin Sanborn

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-08-05
VA	RA	APPROVED	2008-11-24
NC	RA	APPROVED	2001-12-31

TX RA
APPROVED_RES

Since 2020-08-05
VA RA
APPROVED

Since 2008-11-24
NC RA
APPROVED

Since 2001-12-31

Branch Locations

138 N. Salisbury Ave, Granite Quarry, NC 28072 • 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

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)	Granite Quarry	NC	01/2001	Present

01/2001 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Granite Quarry, NC

Other Businesses

1. 11/18/2002 - NON-VARIABLE INSURANCE - F&M INSURANCE AGENCY - SELLING FIXED INSURANCE BUSINESS - GRANITE QUARRY, NC. 2. 2/12/2013: DBA ONLY - F&M INVESTMENT SERVICES- GRANITE QUARRY, NC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-05-30
S63	Uniform Securities Agent State Law Examination	1993-06-08

S65 Uniform Investment Adviser Law Examination

2001-05-30
S63 Uniform Securities Agent State Law Examination

1993-06-08

View on SEC IAPD