Carter E Chotin

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
LA	RA	APPROVED	2021-06-21

LA RA
APPROVED

Since 2021-06-21

Branch Locations

Covington, LA • 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 No
Termination Yes

Employment History

Organization	City	State	From	To
Massmutual	Metairie	LA	10/2009	04/2021
Mml Investors Services Inc	Metairie	LA	11/2009	04/2021
Lpl Financial, Llc	Covington	LA	06/2021	Present
Chotin Financial Concepts, Llc	Covington	LA	06/2021	Present

10/2009 → 04/2021

Massmutual

Metairie, LA
11/2009 → 04/2021

Mml Investors Services Inc

Metairie, LA
06/2021 → Present

Lpl Financial, Llc

Covington, LA
06/2021 → Present

Chotin Financial Concepts, Llc

Covington, LA

Previous Registrations

2015-01-28 → 2021-04-22

Mml Investors Services, Llc

Metairie, LA

Covington, LA

Other Businesses

1) 2013 - Non-Variable Insurance - Erwin Insurance Agency - Investment Related - Covington, LA 70433 2) 06/04/2021 - Erwin Insurance Agency - Investment Related - 410 south tyler street covington, la 70433 - Property and Casualty - Start Date - 2013 - 4 Hours Per Month - Time Spent 1% 3) 06/04/2021 - Chotin Financial Concepts, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 11/2020 4) 05/18/2022 - Sterling Bridge Insurance Agency - Investment Related - 410 S. Tyler St. Covington LA 70433 - Non-Variable Insurance - Salesperson - Start Date - 02/04/2010 - 15 Hours Per Month/ 5 Hours During Securities Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-12-19

S65 Uniform Investment Adviser Law Examination

2014-12-19

View on SEC IAPD