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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 2017-10-04
PA RA APPROVED 2017-09-19
  • TX RA
    APPROVED_RES
    Since 2017-10-04
  • PA RA
    APPROVED
    Since 2017-09-19

Branch Locations

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

Ambridge, PA • United States

201 Washington St Ste 300, Boston, MA 02108 • 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 07/2013 Present
Previous Registrations
  • 2007-04-20 → 2007-09-19
    Pittsburgh, PA
  • 2003-03-13 → 2003-08-15
    Uvest Financial Services Group, Inc.
    Charlotte, NC
  • 2002-04-04 → 2002-08-15
    Bny Mellon Securities Llc
    Beaver, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-03-14
S63 Uniform Securities Agent State Law Examination 1996-03-11
  • S66 Uniform Combined State Law Examination
    2002-03-14
  • S63 Uniform Securities Agent State Law Examination
    1996-03-11

View on SEC IAPD

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