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Alan Grant Pumphrey

LPl Financial LLC

Carmel, IN

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2022-02-16
TX RA APPROVED_RES 2022-02-11
  • IN RA
    APPROVED
    Since 2022-02-16
  • TX RA
    APPROVED_RES
    Since 2022-02-11

Branch Locations

11611 N Meridian St Suite 160, Carmel, IN 46032-4610 • 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
Wells Fargo Advisors Llc Indianapolis IN 05/2009 11/2016
Wells Fargo Clearing Services, Llc Indianapolis IN 11/2016 02/2022
Lpl Financial Llc Carmel IN 02/2022 Present
Previous Registrations
  • 2008-01-01 → 2022-02-15
    Wells Fargo Clearing Services, Llc
    Indianapolis, IN
    Indianapolis, IN
  • 1999-03-16 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Indianapolis, IN
    Indianapolis, IN
    Indianapolis, IN
    St. Louis, MO
Other Businesses

1)01/27/2022 - GLADSTONE WEALTH PARTNERS - DBA for LPL Business (entity for LPL business) - Inv Rel - Carmel, IN - Start: 02/2022 - 160 Hr/Mth 2)01/27/2022 - BLUMBERG WEALTH ADVISORS LLC - DBA for LPL Business (entity for LPL business) - Inv Rel -Carmel, IN ) - Start: 02/2022 - 160 Hr/Mth

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-09-06
  • S63 Uniform Securities Agent State Law Examination
    1984-09-06

View on SEC IAPD

Other Firms

VALIC FINANCIAL ADVISORS, INC.
OPPENHEIMER ASSET MANAGEMENT
ONEAMERICA SECURITIES, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
WILLIAMSON LEGACY GROUP, LLC
ARCHER INVESTMENT CORPORATION

Other Investors

ADAM TREVOR BUNDAY
GARY MICHAEL BRIDWELL
DAKOTA A BUNDAY
CHRISTOPHER JOHN ROUTT
DAVID STEWART LANE WEIR
CATHERINE HARSTICK
BRYAN DAVID KLEMM
TODD ALAN BIEBERICH

Other Offices

VALIC FINANCIAL ADVISORS, INC. · CARMEL, IN
OPPENHEIMER ASSET MANAGEMENT · CARMEL, IN
ONEAMERICA SECURITIES, INC. · CARMEL, IN
LPL FINANCIAL LLC · CARMEL, IN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Carmel, IN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · CARMEL, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Carmel, IN
WILLIAMSON LEGACY GROUP, LLC · Carmel, IN

More in Carmel, IN

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