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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2023-06-30
  • SC RA
    APPROVED
    Since 2023-06-30

Branch Locations

304 N. Main Street, Greer, SC 29650 • 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
W&S Brokerage Services Cincinnati OH 04/2022 08/2022
Western And Southern Life Greenville SC 03/2022 09/2022
H&R Block Greenville SC 12/2021 02/2022
Vt Army National Guard Bennington VT 01/2020 04/2023
Td Bank Bellows Falls VT 08/2018 02/2021
New York Life Manchester NH 11/2016 03/2017
Djs Restaurant Ludlow VT 11/2011 02/2019
Innovation Partners Llc Charlotte NC 01/2023 05/2023
Lpl Financial Llc Greer SC 06/2023 Present
Sc Army National Guard Hodges SC 04/2023 Present
  • 04/2022 → 08/2022
    W&S Brokerage Services
    Cincinnati, OH
  • 03/2022 → 09/2022
    Western And Southern Life
    Greenville, SC
  • 12/2021 → 02/2022
    H&R Block
    Greenville, SC
  • 01/2020 → 04/2023
    Vt Army National Guard
    Bennington, VT
  • 08/2018 → 02/2021
    Td Bank
    Bellows Falls, VT
  • 11/2016 → 03/2017
    New York Life
    Manchester, NH
  • 11/2011 → 02/2019
    Djs Restaurant
    Ludlow, VT
  • 01/2023 → 05/2023
    Innovation Partners Llc
    Charlotte, NC
  • 06/2023 → Present
    Greer, SC
  • 04/2023 → Present
    Sc Army National Guard
    Hodges, SC
Other Businesses

1) 06/30/2023 - SC Army National Guard - Outside/W-2 Employment - Non-inv. Related - Hodges, SC - Corporal and Specialist - Start Date 01/22/2020 - 16hrs/month - 0% time spent 2) 06/30/2023 - Anne Marie Realty LLC - Mortgage/Real Estate Services - Inv. Related - Mauldin, SC 29662 - Real Estate Sales Person - Start Date 08/15/2022 - 5hrs/month - 0% time spent 3) 06/30/2023 - Sims &Karr Financial Solutions - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - Start date:6/22/2023 4. 09/15/2025 - Trade Street Wealth Advisors - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - Start date:6/22/2023 - 2080hrs/mnth 7 hrs during Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-06
S63 Uniform Securities Agent State Law Examination 2022-04-20
  • S66 Uniform Combined State Law Examination
    2023-03-06
  • S63 Uniform Securities Agent State Law Examination
    2022-04-20
Other Names
  • Joseph Dias
  • Joseph L Dias

View on SEC IAPD

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