Best Investors Account Sign in

Leroy Dennis Simpson

LPl Financial LLC

Redding, CA

Claim This Profile
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-09-14
  • CA RA
    APPROVED
    Since 2018-09-14

Branch Locations

1640 E Cypress Avenue, Redding, CA 96002 • 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 Redding CA 10/2008 03/2017
Tri Counties Advisors Redding CA 02/2017 09/2018
Raymond James Financial Services, Inc. Redding CA 03/2017 09/2018
Raymond James Financial Services Advisors Inc. Redding CA 03/2017 09/2018
Tri Counties Bank Redding CA 03/2017 09/2018
Clark Financial Group Redding CA 01/2018 09/2018
Lpl Financial Redding CA 09/2018 Present
  • 10/2008 → 03/2017
    Lpl Financial, Llc
    Redding, CA
  • 02/2017 → 09/2018
    Tri Counties Advisors
    Redding, CA
  • 03/2017 → 09/2018
    Raymond James Financial Services, Inc.
    Redding, CA
  • 03/2017 → 09/2018
    Raymond James Financial Services Advisors Inc.
    Redding, CA
  • 03/2017 → 09/2018
    Tri Counties Bank
    Redding, CA
  • 01/2018 → 09/2018
    Clark Financial Group
    Redding, CA
  • 09/2018 → Present
    Lpl Financial
    Redding, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-08-25
S65 Uniform Investment Adviser Law Examination 2003-05-06
S63 Uniform Securities Agent State Law Examination 1997-11-24
  • S66 Uniform Combined State Law Examination
    2009-08-25
  • S65 Uniform Investment Adviser Law Examination
    2003-05-06
  • S63 Uniform Securities Agent State Law Examination
    1997-11-24

View on SEC IAPD

Other Firms

THRIVENT INVESTMENT MANAGEMENT INC.
RUBICON ADVISORS
THE AMERIFLEX GROUP
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
WOVEN CAPITAL, LLC
EDWARD JONES
MARINER INDEPENDENT

Other Investors

JASON ROBERT WAYBRIGHT
ANDREW DAVID FREIBERG
JOHN STUART WINN
LEWIS GEORGE CHAMBERLAIN
BRANDY LYNN BAILEY
JASON MICHAEL RICHART
Joseph Eugene Schmitz
Jeremy Malcom Buranis

Other Offices

LPL FINANCIAL LLC · REDDING, CA
THRIVENT INVESTMENT MANAGEMENT INC. · Redding, CA
RUBICON ADVISORS · Redding, CA
THE AMERIFLEX GROUP · Redding, CA
WELLS FARGO CLEARING SERVICES, LLC · REDDING, CA
LPL FINANCIAL LLC · REDDING, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · REDDING, CA
LPL FINANCIAL LLC · Redding, CA

More in Redding, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor