William James Lawfield

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
VA	RA	APPROVED	2018-10-26

VA RA
APPROVED

Since 2018-10-26

Branch Locations

Roanoke, VA • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Jhfn Sii	Raleigh	NC	03/2011	10/2018
Lpl Financial Llc	Roanoke	VA	10/2018	Present

03/2011 → 10/2018

Jhfn Sii

Raleigh, NC
10/2018 → Present

Lpl Financial Llc

Roanoke, VA

Previous Registrations

2011-04-14 → 2018-10-29

Signator Investors, Inc.

Raleigh, NC

Roanoke, VA
2008-12-16 → 2011-01-26

Waddell & Reed

Roanoke, VA

Vienna, VA

Other Businesses

1)10/26/18- Blue Ridge Wealth Management- DBA for LPL Business (entity for LPL business)- Inv. Related- Roanoke, VA - 160hrs/mth - 100% 2). 03/26/2019 - Highland Capital Brokerage - Investment related - At reported business location(s) - Non-Variable Insurance - start date:02/25/2019 - 20 hrs/mo - 1 hr during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-12-15
S63	Uniform Securities Agent State Law Examination	2008-12-04

S65 Uniform Investment Adviser Law Examination

2008-12-15
S63 Uniform Securities Agent State Law Examination

2008-12-04

Other Names

William Lawfield

View on SEC IAPD