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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2022-03-29
  • PA RA
    APPROVED
    Since 2022-03-29

Branch Locations

1221 Carlisle St, Hanover, PA 17331-1202 • United States

105 Chambersburg St, Gettysburg, PA 17325 • United States

14601 Mt Airy Rd, Shrewsburg, PA 17361 • United States

1005 York Rd, Gettysburg, PA 17325 • United States

1680 Baltimore Pike, Hanover, PA 17331 • United States

2124 South Queen St, York, PA 17403 • 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
Wells Fargo Advisors, Llc. York PA 04/2013 11/2016
Wells Fargo Bank Na York PA 04/2013 03/2022
Wells Fargo Clearing Services, Llc York PA 11/2016 03/2022
Members 1St Federal Credit Union Hanover PA 03/2022 Present
Lpl Financial, Llc Hanover PA 03/2022 Present
  • 04/2013 → 11/2016
    Wells Fargo Advisors, Llc.
    York, PA
  • 04/2013 → 03/2022
    Wells Fargo Bank Na
    York, PA
  • 11/2016 → 03/2022
    York, PA
  • 03/2022 → Present
    Members 1St Federal Credit Union
    Hanover, PA
  • 03/2022 → Present
    Hanover, PA
Previous Registrations
Other Businesses

1) 3/2022 - DBA for LPL Business (entity for LPL business) - 1st Investment Services and Wealth Management - Investment Related - Hanover, PA 17331

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-04-23
S63 Uniform Securities Agent State Law Examination 2005-10-06
  • S66 Uniform Combined State Law Examination
    2010-04-23
  • S63 Uniform Securities Agent State Law Examination
    2005-10-06
Other Names
  • Brad Gauldin

View on SEC IAPD

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