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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2017-11-29 |
Branch Locations
418 Madison Ave, Montgomery, AL 36104 • United States
1789 Cong W.L. Dickinson Dr, Montgomery, AL 36109 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Credit Union | Montgomery | AL | 02/2016 | Present |
| Investment Centers Of America | Montgomery | AL | 03/2016 | 11/2017 |
| Lpl Financial Llc | Montgomery | AL | 11/2017 | Present |
1. 11/29/2017 - GUARDIAN CREDIT UNION - Outside/W-2 Employment - Not Investment Related - PRIVATE BANKER - Time Spent 60% 2. 07/24/2020 - Alpha Solutions - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Producer - Start Date: 07/14/2020 - 80 Hours Per Month/4 Hours During Securities Trading 3. 03/05/2026 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Guardian Financial Planning - Investment Related - At Reported Business Location(s) - Start Date 12/01/2017 - 80 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-25 |
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