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Denise Yvonne Scharfenberger

LPl Financial LLC

Allen, TX

Austin, TX

CRD 2480910

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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

AuthorityCategoryStatusDate
NC RA APPROVED 2013-06-26
TX RA APPROVED 2013-06-14
  • NC RA
    APPROVED
    Since 2013-06-26
  • TX RA
    APPROVED
    Since 2013-06-14

Branch Locations

Allen, TX • United States

13620 N Fm 620, Bldg C Ste 200, Austin, TX 78717 • 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
Lpl Financial Llc Fort Mill SC 06/2013 Present
Previous Registrations
  • 2007-06-29 → 2012-05-17
    1St Global Advisors Inc
    Dallas, TX
Other Businesses

(1) 11/17/2014 - THE SERIAL NESTER - OTHER - CONSULTING - TIME SPENT 10 HOURS PER MONTH -ALLEN, TX

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-07-05
S66 Uniform Combined State Law Examination 2007-06-13
  • S63 Uniform Securities Agent State Law Examination
    2013-07-05
  • S66 Uniform Combined State Law Examination
    2007-06-13
Other Names
  • Denise Yvonne Spaulding
  • Denise Horan
  • Denise Yvonne Horan

View on SEC IAPD

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