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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-06-23
DE RA APPROVED 2021-06-09
  • TX RA
    APPROVED
    Since 2021-06-23
  • DE RA
    APPROVED
    Since 2021-06-09

Branch Locations

139 South State Street, Dover, DE 19901 • United States

1001 East Lebanon Road, Dover, DE 19901 • United States

405 West Main Street, Middletown, DE 19709 • United States

600 Jimmy Drive, Smyrna, DE 19977 • United States

Middletown, DE • 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
Wsfs Bank Wilmington DE 01/2006 Present
J.P Morgan Securities Llc. Newark DE 09/2011 Present
J.P Morgan Services Inc. Newark DE 09/2011 Present
M&T Bank Middletown DE 05/2012 Present
M&T Securities Middletown DE 05/2012 Present
Lpl Financial Llc Middletown DE 06/2021 Present
  • 01/2006 → Present
    Wsfs Bank
    Wilmington, DE
  • 09/2011 → Present
    J.P Morgan Securities Llc.
    Newark, DE
  • 09/2011 → Present
    J.P Morgan Services Inc.
    Newark, DE
  • 05/2012 → Present
    M&T Bank
    Middletown, DE
  • 05/2012 → Present
    M&T Securities
    Middletown, DE
  • 06/2021 → Present
    Middletown, DE
Previous Registrations
  • 2012-06-05 → 2021-06-09
    M&T Securities, Inc.
    Wilkes-Barre, PA
    Wilmington, DE
    Middletown, DE
    Middletown, DE
    Dover, DE
    Dover, DE
    Smyrna, DE
    Harrington, DE
    Wilmington, DE
    Harrington, DE
    Dover, DE
    Wilmington, DE
    Buffalo, NY
    Wilkes-Barre, PA
    Wilmington, DE
    Wilkes-Barre, PA
    Baltimore, MD
  • 2010-09-20 → 2011-08-23
    Invest Financial Corporation
    Bear, DE
    Newark, DE
Other Businesses

1. 04/15/2021 - GB JACOBS PROPERTIES, LLC - Inv Related - Middletown, DE - Real Estate Rental - Co-Owner - Start Date: 10/27/2021 - 2 Hrs/Mo; 0 Hr During Trading. 2. 04/28/2021 - Wilmington Advisors @ M&T - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 09/28/2021 - GB JACOBS PROPERTIES, LLC - Inv Related - Middletown, DE - Real Estate Rental - Co-Owner - Start Date: 10/27/2020 - 1 Hr/Mo; 0 Hr During Trading. 4. 06/11/2024 - Mr. Mulch Frist State - Rep's Business - Owner - Not Investment Related - 4821 Summit Bridge Road, Middletown, DE 19709 - Start Date 04/30/2024 - 4 Hours Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-09-17
  • S66 Uniform Combined State Law Examination
    2010-09-17
Designations
Other Names
  • Kari Elizabeth Sloan

View on SEC IAPD

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