Joseph Lester Crain

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APP_PEND_IARCE	2026-01-01
TN	RA	APP_PEND_IARCE	2026-01-01
TX	RA	APPROVED	2020-10-26

FL RA
APP_PEND_IARCE

Since 2026-01-01
TN RA
APP_PEND_IARCE

Since 2026-01-01
TX RA
APPROVED

Since 2020-10-26

Branch Locations

Orlando, FL • United States

1939 Hazelton Dr, Germantown, TN 38138 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wunderlich Securities, Inc.	Memphis	TN	06/2007	10/2020
Lpl Financial Llc	Collierville	TN	10/2020	Present
First Citizens National Bank	Collierville	TN	10/2020	Present

06/2007 → 10/2020

Wunderlich Securities, Inc.

Memphis, TN
10/2020 → Present

Lpl Financial Llc

Collierville, TN
10/2020 → Present

First Citizens National Bank

Collierville, TN

Previous Registrations

2007-06-19 → 2020-11-04

B. Riley Wealth Management

Memphis, TN

Memphis, TN
2004-04-12 → 2007-06-29

Citigroup Global Markets Inc.

Memphis, TN

Memphis, TN

Other Businesses

1)10/26/2020- First Citizens Investment Services- DBA for LPL Business (entity for LPL business)- INV. RELATED- COLLIERVILLE, TN - 100%

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-10-21
S63	Uniform Securities Agent State Law Examination	1994-10-07

S65 Uniform Investment Adviser Law Examination

1994-10-21
S63 Uniform Securities Agent State Law Examination

1994-10-07

Designations

Other Names

Joseph Lester Crain
Chip Crain

View on SEC IAPD