Bradley Thomas Stipp

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2010-04-21

NC RA
APPROVED

Since 2010-04-21

Branch Locations

Charlotte, NC • 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

Organization	City	State	From	To
Lpl Financial Llc	Charlotte	NC	03/2010	Present

03/2010 → Present

Lpl Financial Llc

Charlotte, NC

Previous Registrations

2009-06-01 → 2010-04-14

Morgan Stanley

Charlotte, NC
2007-09-17 → 2009-06-01

Citigroup Global Markets Inc.

Charlotte, NC
2005-08-19 → 2007-09-17

Banc Of America Investment Services, Inc.

Charlotte, NC

Charlotte, NC
2001-12-31 → 2005-08-26

Citigroup Global Markets Inc.

Charlotte, NC

Other Businesses

1. 7/6/2015: NO BUSINESS NAME - Investment Related - CHARLOTTE, NC - Other-FINRA Arbitrator - Started 07/01/2015 - 6 Hours Per Month During Securities Trading - FINRA SECURITIES ARBITRATOR. 2. 11/10/2020 - Stipp Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/16/2009.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-04-28
S63	Uniform Securities Agent State Law Examination	1984-05-24

S65 Uniform Investment Adviser Law Examination

1993-04-28
S63 Uniform Securities Agent State Law Examination

1984-05-24

View on SEC IAPD