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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2022-05-02
TX RA APPROVED 2022-04-12
  • AL RA
    APPROVED
    Since 2022-05-02
  • TX RA
    APPROVED
    Since 2022-04-12

Branch Locations

21883 Highway 181, Ste. A, Fairhope, AL 36532 • 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
Lpl Financial Llc Park City UT 11/2015 03/2019
Zions Bank Park City UT 11/2015 03/2019
Hancock Whitney Investment Services, Inc. Mobile AL 03/2019 04/2022
Hancock Whitney Bank Mobile AL 03/2019 04/2022
Lpl Financial Llc Fairhope AL 04/2022 Present
Previous Registrations
  • 2019-03-20 → 2022-05-02
    New Orleans, LA
    Mobile, AL
    Fairhope, AL
    Daphne, AL
    Mobile, AL
    Gulf Shores, AL
  • 2016-02-29 → 2019-02-19
    Park City, UT
    San Diego, CA
    Park City, UT
    Park City, UT
    Midvale, UT
    Midvale, UT
    Coalville, UT
    Midvale, UT
Other Businesses

1)03/29/2022 - Wander Lane Financial Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 04/2022

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-26
S63 Uniform Securities Agent State Law Examination 2015-11-25
  • S66 Uniform Combined State Law Examination
    2016-02-26
  • S63 Uniform Securities Agent State Law Examination
    2015-11-25

View on SEC IAPD

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