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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2018-01-05
  • SC RA
    APPROVED
    Since 2018-01-05

Branch Locations

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

Fort Mill, SC • 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
Invest Financial Corporation Denver CO 03/2014 11/2017
Lpl Financial Llc Ft Mill SC 11/2017 Present
  • 03/2014 → 11/2017
    Invest Financial Corporation
    Denver, CO
  • 11/2017 → Present
    Ft Mill, SC
Previous Registrations
  • 2014-03-31 → 2017-11-02
    Invest Financial Corporation
    Appleton, WI
  • 2013-03-04 → 2014-03-24
    Curian Capital, Llc
    Denver, CO
  • 2004-08-27 → 2008-02-12
    Sacramento, CA
  • 1998-07-02 → 2004-08-18
    Modesto, CA
Other Businesses

1) 07/24/2025 - Season of Becoming - Not Investment Related - other- life coach - Home Based - Start Date:7/1/2025 - 20 Hrs/Mth - 0 Hrs During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-02-26
S63 Uniform Securities Agent State Law Examination 2012-04-03
  • S65 Uniform Investment Adviser Law Examination
    2013-02-26
  • S63 Uniform Securities Agent State Law Examination
    2012-04-03
Other Names
  • Earl King

View on SEC IAPD

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