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Stephen Douglas Sexton

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 2022-10-04
TX RA APPROVED_RES 2022-09-22
  • NC RA
    APPROVED
    Since 2022-10-04
  • TX RA
    APPROVED_RES
    Since 2022-09-22

Branch Locations

701 Green Valley Rd, Ste. 302, 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
Bb&T Securities Greensboro NC 07/2016 02/2021
Truist Investment Services, Inc. Greensboro NC 02/2021 09/2022
Truist Advisory Services, Inc. Greensboro NC 02/2021 09/2022
Lpl Financial Llc Greensboro NC 09/2022 Present
  • 07/2016 → 02/2021
    Bb&T Securities
    Greensboro, NC
  • 02/2021 → 09/2022
    Truist Investment Services, Inc.
    Greensboro, NC
  • 02/2021 → 09/2022
    Greensboro, NC
  • 09/2022 → Present
    Greensboro, NC
Previous Registrations
  • 2021-02-17 → 2022-09-23
    Atlanta, GA
    Greensboro, NC
  • 2016-07-18 → 2021-02-17
    Bb&T Securities, Llc
    Greensboro, NC
    Richmond, VA
  • 2009-05-04 → 2016-08-02
    Greensboro, NC
    San Diego, CA
    Greensboro, NC
  • 2001-12-31 → 2009-05-05
    Osaic Fs, Inc.
    Greensboro, NC
    Greensboro, NC
Other Businesses

1)09/22/2022 - Stephen D. Sexton - NonVariable Insurance Trails Only - Inv Rel - Greensboro, NC - Start: 12/1993 2)09/22/2022 - Pilot Benefits - Non-Variable Insurance Trails Only - Inv Rel - Greensboro, NC - Start: 0/2002

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-17
S63 Uniform Securities Agent State Law Examination 1994-04-29
  • S65 Uniform Investment Adviser Law Examination
    1999-06-17
  • S63 Uniform Securities Agent State Law Examination
    1994-04-29
Designations
Other Names
  • Stephen Douglas Sexton

View on SEC IAPD

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