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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2021-10-12
TX RA APPROVED 2013-07-19
MO RA APPROVED 2013-06-17
  • OH RA
    APPROVED
    Since 2021-10-12
  • TX RA
    APPROVED
    Since 2013-07-19
  • MO RA
    APPROVED
    Since 2013-06-17

Branch Locations

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

St Louis, MO • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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 Charlotte NC 06/2013 Present
Previous Registrations
  • 1999-05-25 → 2013-06-06
    Waddell & Reed
    Shawnee Mission, KS
    Overland Park, KS
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-03-05
S63 Uniform Securities Agent State Law Examination 1995-03-22
  • S66 Uniform Combined State Law Examination
    2009-03-05
  • S63 Uniform Securities Agent State Law Examination
    1995-03-22

View on SEC IAPD

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