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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2014-02-13
  • NC RA
    APPROVED
    Since 2014-02-13

Branch Locations

520 8Th St Ne #303, Hickory, NC 28601-5118 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Hickory NC 02/2014 Present
Previous Registrations
Other Businesses

(1) 02/12/2014 - CAPITAL FINANCING PLAN/ DBA ONLY/ 100%/ HICKORY, NC (2) 04/23/2014 - BLUE CROSS BLUE SHIELD OF NC - NON-VARIABLE INSURANCE - I AM APPOINTED WITH BLUE CROSS BLUE SHIELD OF NC AS AN AUTHORIZED AGENT TO SELL MEDICARE SUPPLEMENTAL, MEDICARE PART D, AND MEDICARE ADVANTAGE PLANS TO RESIDENTS OF NC. - TIME SPENT 2% - HICKORY, NC

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-04-30
  • S66 Uniform Combined State Law Examination
    2010-04-30
Designations

View on SEC IAPD

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