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Harry Charles Stumpf

LPl Financial LLC

New Orleans, LA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2009-04-24
  • LA RA
    APPROVED
    Since 2009-04-24

Branch Locations

1100 Poydras St, Suite 2900, New Orleans, LA 70163 • 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
Lpl Financial, Llc New Orleans LA 04/2009 Present
Other Businesses

1. 04/24/2009: DBA ONLY - CLANCY STUMPF & COMPANY - NEW ORLEANS, LA.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-24
S63 Uniform Securities Agent State Law Examination 1995-10-02
  • S65 Uniform Investment Adviser Law Examination
    1997-01-24
  • S63 Uniform Securities Agent State Law Examination
    1995-10-02
Designations
Other Names
  • Clancy Stumpf
  • Harry Charles Stumpf
  • Harry Charles Stumpf Jr.

View on SEC IAPD

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