Stacy Alden Cannon

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	2012-06-25
SC	RA	APPROVED	2007-09-19

TX RA
APPROVED_RES

Since 2012-06-25
SC RA
APPROVED

Since 2007-09-19

Branch Locations

2440 Mall Dr, Ste B, North Charleston, SC 29406 • 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

Organization	City	State	From	To
Lpl Financial Llc	Greenville	SC	09/2007	Present

09/2007 → Present

Lpl Financial Llc

Greenville, SC

Previous Registrations

2004-10-14 → 2007-09-17

Uvest Financial Services Group, Inc.

Greenville, SC

Greenville, SC
2002-05-28 → 2004-10-05

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hendersonville, NC

Other Businesses

1. 5/27/2014 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - SOUTH STATE INVESTMENT SERVICES - START DATE=06/30/2014 - INVESTMENT RELATED - CHARLESTON, SC.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-08-19
S63	Uniform Securities Agent State Law Examination	1993-09-03

S65 Uniform Investment Adviser Law Examination

1994-08-19
S63 Uniform Securities Agent State Law Examination

1993-09-03

Other Names

Stacy Alden Cannon
Stacy Alden Smith
Stacy A Smith

View on SEC IAPD