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Kathryn V. Carter

LPl Financial LLC

Augusta, ME

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-03-22
ME RA APPROVED 2018-07-30
VA RA APPROVED 2016-03-16
  • TX RA
    APPROVED_RES
    Since 2021-03-22
  • ME RA
    APPROVED
    Since 2018-07-30
  • VA RA
    APPROVED
    Since 2016-03-16

Branch Locations

Augusta, ME • 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 (Formerly: Linsco/Private Ledger Corp.) Augusta ME 09/1994 Present
  • 09/1994 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
    Augusta, ME
Previous Registrations
  • 2011-04-27 → 2016-03-16
    Strategic Wealth Advisors Group
    Alexandria, VA
Other Businesses

1. 8/2/2010: NON-VARIABLE INSURANCE - INSURANCE AGENT - CONDUCT INSURANCE THROUGH A BGA OUTSIDE OF LPL. - TIME SPENT 5%.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-02-24
S63 Uniform Securities Agent State Law Examination 1984-04-02
  • S65 Uniform Investment Adviser Law Examination
    1995-02-24
  • S63 Uniform Securities Agent State Law Examination
    1984-04-02
Other Names
  • Kathryn V. Moyer
  • Kathryn Redding Moyer
  • Kathryn Barrows
  • Kathryn Redding
  • Kathryn Victoria Reddingmoyer
  • Kathryn Victoria Redding
  • Kathryn Redding Carter

View on SEC IAPD

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