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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2026-06-03
  • AL RA
    APPROVED
    Since 2026-06-03

Branch Locations

336 North Gay St, Auburn, AL 36830 • United States

11020 Chantilly Pkwy, Montgomery, AL 36117 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

336 North Gay St, Auburn, AL 36830 • 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
Lpl Financial Llc Auburn AL 06/2026 Present
Max Credit Union Montgomery AL 06/2014 08/2017
Max Credit Union Montgomery AL 08/2017 Present
Lpl Financial Llc Auburn AL 08/2017 08/2018
Stonex Securities Inc Auburn AL 08/2018 06/2026
Stonex Advisors Inc Auburn AL 08/2018 06/2026
  • 06/2026 → Present
    Auburn, AL
  • 06/2014 → 08/2017
    Max Credit Union
    Montgomery, AL
  • 08/2017 → Present
    Max Credit Union
    Montgomery, AL
  • 08/2017 → 08/2018
    Auburn, AL
  • 08/2018 → 06/2026
    Stonex Securities Inc
    Auburn, AL
  • 08/2018 → 06/2026
    Auburn, AL
Previous Registrations
Other Businesses

1. Investment products and services are offered through LPL Financial LLC using the DBA/trade name MAX Wealth Management - Inv Rel - At Reported Business Location (s) - Start Date : 05/2026

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-12
  • S66 Uniform Combined State Law Examination
    2018-07-12

View on SEC IAPD

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