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Carol Jones Owens

LPl Financial LLC

North Wilkesboro, 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 2008-12-01
  • NC RA
    APPROVED
    Since 2008-12-01

Branch Locations

311 Ninth Street, North Wilkesboro, NC 28659-4105 • 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 Corp North Wilkesboro NC 12/2008 Present
  • 12/2008 → Present
    Lpl Financial Corp
    North Wilkesboro, NC
Previous Registrations
  • 2001-12-31 → 2008-12-05
    Scott & Stringfellow, Llc
    North Wilkesboro, NC
    North Wilkesboro, NC
Other Businesses

1.12/01/08 BRAME & OWENS FINANCIAL GROUP - DBA - NORTH WILKESBORO NC 2. 11/20/2012: NOTARY PUBLIC. / TIME SPENT 5%

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-12-10
S63 Uniform Securities Agent State Law Examination 1983-11-08
  • S65 Uniform Investment Adviser Law Examination
    1991-12-10
  • S63 Uniform Securities Agent State Law Examination
    1983-11-08

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC
WELLS FARGO CLEARING SERVICES, LLC
CETERA INVESTMENT ADVISERS LLC
EDWARD JONES
ABSHER WEALTH MANAGEMENT, LLC

Other Investors

Carla Nadine Souther
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SHELLEY CLYDE YORK
CHARLES KEITH LYALL
RODERICK LAMONT BARNES
JUSTIN WAYNE BRYSON
BROOK NICHOLAS BIDDY
MEGAN GRAY SASSONE

Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · North Wilkesboro, NC
OSAIC WEALTH, INC. · North Wilkesboro, NC
HORACE MANN INVESTORS, INC. · NORTH WILKESBORO, NC
AMERIPRISE FINANCIAL SERVICES, LLC · N WILKESBORO, NC
LPL FINANCIAL LLC · NORTH WILKESBORO, NC
WELLS FARGO CLEARING SERVICES, LLC · NORTH WILKESBORO, NC
WELLS FARGO CLEARING SERVICES, LLC · NORTH WILKESBORO, NC
CETERA INVESTMENT ADVISERS LLC · NORTH WILKESBORO, NC

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