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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-05-10
NC RA APPROVED 2001-03-21
  • TX RA
    APPROVED_RES
    Since 2013-05-10
  • NC RA
    APPROVED
    Since 2001-03-21

Branch Locations

2975 Dale Earnhardt Blvd, Kannapolis, NC 28083 • United States

221 North Main Street, Salisbury, NC 28114 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Linsco Private Ledger Corp Salisbury NC 03/2001 Present
  • 03/2001 → Present
    Linsco Private Ledger Corp
    Salisbury, NC
Other Businesses

1. 3/19/2001 - F+M INVESTMENT SERVICES. 2. 11/18/2002 - NON-VARIABLE INSURANCE - INDEPENDENT INSURANCE AGENT - FIXED PRODUCTS ONLY - SALISBURY, NC.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-03-03
S63 Uniform Securities Agent State Law Examination 1995-08-04
  • S65 Uniform Investment Adviser Law Examination
    2000-03-03
  • S63 Uniform Securities Agent State Law Examination
    1995-08-04

View on SEC IAPD

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