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Vicki Jean Marshall

LPl Financial LLC

Hudson, OH

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2008-09-11
  • OH RA
    APPROVED
    Since 2008-09-11

Branch Locations

1737 Georgetown Rd, Suite C, Hudson, OH 44236 • 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
OrganizationCityStateFromTo
Lpl Financial Llc Hudson OH 09/2008 Present
Previous Registrations
  • 2007-02-09 → 2008-09-19
    Hudson, OH
  • 1999-11-22 → 2007-02-09
    Keybanc Capital Markets Inc.
    Hudson, OH
    Hudson, OH
Other Businesses

1. 1/21/2021 - The Marshall Flynn Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/1/2021 - 160 Hours Per Month/130 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-02
S63 Uniform Securities Agent State Law Examination 1983-03-14
  • S65 Uniform Investment Adviser Law Examination
    1999-09-02
  • S63 Uniform Securities Agent State Law Examination
    1983-03-14

View on SEC IAPD

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