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Anthony Guy Diffenbaugh

LPl Financial LLC

Winston Salem, NC

Winston-Salem, NC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2025-05-15
  • NC RA
    APPROVED
    Since 2025-05-15

Branch Locations

1910 Peace Haven Road, Winston Salem, NC 27106 • United States

3390 Sides Branch Road, Winston-Salem, NC 27127 • 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 Asheville NC 07/2013 02/2018
Td Ameritrade, Inc. Asheville NC 02/2018 04/2019
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 04/2019
Unemployed Clemmons NC 05/2019 03/2020
Cuso Financial Services, Lp San Diego CA 03/2022 Present
Allegacy Federal Credit Union Winston Salem NC 03/2022 Present
Truist Clemmons NC 04/2020 02/2022
Lpl Financial Llc Winston-Salem NC 05/2025 Present
  • 07/2013 → 02/2018
    Scottrade
    Asheville, NC
  • 02/2018 → 04/2019
    Td Ameritrade, Inc.
    Asheville, NC
  • 02/2018 → 04/2019
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 05/2019 → 03/2020
    Unemployed
    Clemmons, NC
  • 03/2022 → Present
    Cuso Financial Services, Lp
    San Diego, CA
  • 03/2022 → Present
    Allegacy Federal Credit Union
    Winston Salem, NC
  • 04/2020 → 02/2022
    Truist
    Clemmons, NC
  • 05/2025 → Present
    Lpl Financial Llc
    Winston-Salem, NC
Previous Registrations
  • 2022-04-25 → 2025-05-15
    Cuso Financial Services, L.P.
    Winston-Salem, NC
    Winston Salem, NC
  • 2018-02-27 → 2019-04-16
    Td Ameritrade, Inc.
    Asheville, NC
  • 2018-02-26 → 2019-04-16
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Asheville, NC
  • 2017-05-24 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
Other Businesses

1. 05/15/2025 - Allegacy Investment Group - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:30-APR-25 - 160 Hrs/Mth - 160Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-22
S63 Uniform Securities Agent State Law Examination 2013-11-15
  • S66 Uniform Combined State Law Examination
    2022-04-22
  • S63 Uniform Securities Agent State Law Examination
    2013-11-15
Other Names
  • Tony Diffenbaugh

View on SEC IAPD

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