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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2025-08-21
  • TN RA
    APPROVED
    Since 2025-08-21

Branch Locations

1155 Volunteer Parkway, Bristol, TN 37620 • United States

800 State St., Bristol, TN 37620 • United States

2112 North Roan Street 8Th Floor, Johnson City, TN 37601 • 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
Scottrade, Inc. Charlotte NC 10/2008 05/2017
Ftb Advisors Johnson City TN 05/2017 Present
Lpl Financial Llc Bristol TN 08/2025 Present
  • 10/2008 → 05/2017
    Scottrade, Inc.
    Charlotte, NC
  • 05/2017 → Present
    Ftb Advisors
    Johnson City, TN
  • 08/2025 → Present
    Bristol, TN
Previous Registrations
  • 2017-05-04 → 2025-08-21
    First Horizon Advisors, Inc.
    Johnson City, TN
    Bristol, TN
  • 2017-02-24 → 2017-05-08
    Scottrade Investment Management
    Saint Louis, MO
Other Businesses

1- 08/21/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name First Horizon Advisors - Investment Related - At reported Business Location(s) - Start Date 07/24/2025 - 160 hours per month/ during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-22
S63 Uniform Securities Agent State Law Examination 2006-03-17
  • S66 Uniform Combined State Law Examination
    2017-02-22
  • S63 Uniform Securities Agent State Law Examination
    2006-03-17
Other Names
  • Derek C Brown

View on SEC IAPD

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