Noel Richardson Sherry

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-01-02
FL	RA	APPROVED	2026-01-02
TX	RA	APPROVED_RES	2012-05-21

CA RA
APPROVED

Since 2026-01-02
FL RA
APPROVED

Since 2026-01-02
TX RA
APPROVED_RES

Since 2012-05-21

Branch Locations

Dunedin, FL • 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 No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Mukilteo	WA	04/2009	Present

04/2009 → Present

Lpl Financial Llc

Mukilteo, WA

Previous Registrations

2000-03-09 → 2009-04-15

Ubs Financial Services Inc.

Tacoma, WA

Tacoma, WA

Weehawken, NJ

Everett, WA

San Mateo, CA

San Mateo, CA

Mukilteo, WA

Everett, WA

Other Businesses

1) 03/06/2025 - The Non-Ordinary Therapy Group - Not Investment Related - Other - marriage/family therapy - Various Location - Start Date:10/15/2024 - 8 Hrs/Mth - 0 Hrs During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-09-15
S63	Uniform Securities Agent State Law Examination	1989-11-06

S65 Uniform Investment Adviser Law Examination

1997-09-15
S63 Uniform Securities Agent State Law Examination

1989-11-06

View on SEC IAPD