Susan Cox Small

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2021-11-08
GA	RA	APPROVED	2015-04-27

SC RA
APPROVED

Since 2021-11-08
GA RA
APPROVED

Since 2015-04-27

Branch Locations

4440 Washington Rd, Evans, GA 30809 • United States

627 Ronald Reagan Dr., Evans, GA 30809 • United States

336 Georgia Ave Ste 104., North Augusta, SC 29841 • United States

200 North Main St, Saluda, SC 29138 • 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

Organization	City	State	From	To
Lpl Financial Llc	Augusta	GA	02/2015	Present
Wealthplan Partners	Augusta	GA	12/2015	04/2017
South State Bank	Augusta	GA	02/2015	Present

02/2015 → Present

Lpl Financial Llc

Augusta, GA
12/2015 → 04/2017

Wealthplan Partners

Augusta, GA
02/2015 → Present

South State Bank

Augusta, GA

Other Businesses

1. 1/19/2017 - South State Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/21/2017 - 160 Hours Per Month/40 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-04-16
S63	Uniform Securities Agent State Law Examination	2010-09-10

S65 Uniform Investment Adviser Law Examination

2015-04-16
S63 Uniform Securities Agent State Law Examination

2010-09-10

Other Names

Susan Elaine Cox
Susan Cox Johnson
Susan Cox Small

View on SEC IAPD