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Christopher W Spaugh

LPl Financial LLC

Greensboro, NC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2018-08-22
  • NC RA
    APPROVED
    Since 2018-08-22

Branch Locations

628 Green Valley Rd, Ste 303, Greensboro, NC 27408 • 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
The Vanguard Group, Inc. Charlotte NC 09/2005 08/2018
Lpl Financial Llc Greensboro NC 08/2018 Present
  • 09/2005 → 08/2018
    The Vanguard Group, Inc.
    Charlotte, NC
  • 08/2018 → Present
    Lpl Financial Llc
    Greensboro, NC
Previous Registrations
Other Businesses

1) 08/16/2018 - Trinity Wealth Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s)

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-10-26
  • S63 Uniform Securities Agent State Law Examination
    2005-10-26
Designations

View on SEC IAPD

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SMITH PARTNERS WEALTH MANAGEMENT, LLC
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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · GREENSBORO, NC
BANKERS LIFE ADVISORY SERVICES, INC. · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
BY DESIGN FINANCIAL PLANNING · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC

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