Caroline Kridle Korte

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-05-17
KY	RA	APPROVED	2016-05-16

TX RA
APPROVED_RES

Since 2016-05-17
KY RA
APPROVED

Since 2016-05-16

Branch Locations

555 Jefferson St, Paducah, KY 42001 • 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

Organization	City	State	From	To
Lpl Financial, Llc	Paducah	KY	05/2016	Present
Paducah Bank & Trust	Paducah	KY	05/2016	Present

05/2016 → Present

Lpl Financial, Llc

Paducah, KY
05/2016 → Present

Paducah Bank & Trust

Paducah, KY

Previous Registrations

2010-07-27 → 2016-05-23

Raymond James Financial Services Advisors, Inc

Paducah, KY

Other Businesses

1) 05/16/2016 - Paducah Financial Consultants - DBA for LPL Business (entity for LPL business) - at registered business location(s) - inv rel - 100% 2)05/16/2016 - No Business Name - Not Investment Related - Benton, IL 62812,Boonville, IN 47601,Marion, KY 42064,Oxford, MS 38655,Destin, FL 32540Metropolis, IL 62960 - Real Estate Rental - Start Date - 1/1/1996

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-07-22
S63	Uniform Securities Agent State Law Examination	1996-06-28

S65 Uniform Investment Adviser Law Examination

2010-07-22
S63 Uniform Securities Agent State Law Examination

1996-06-28

Other Names

Caroline K Korte

View on SEC IAPD