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Andrew James Dean

LPl Financial LLC

Birmingham, AL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2022-04-16
  • AL RA
    APPROVED
    Since 2022-04-16

Branch Locations

2201 Providence Park Suite 200, Birmingham, AL 35242 • 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
Horizons Financial Group Birmingham AL 05/2017 12/2020
The Ssi Group, Inc. Mobile AL 03/2013 04/2017
Lpl Financial, Llc Birmingham AL 03/2020 Present
  • 05/2017 → 12/2020
    Horizons Financial Group
    Birmingham, AL
  • 03/2013 → 04/2017
    The Ssi Group, Inc.
    Mobile, AL
  • 03/2020 → Present
    Lpl Financial, Llc
    Birmingham, AL
Other Businesses

1. 01/15/2021 - HORIZONS FINANCIAL GROUP, INC./ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 0%/ BIRMINGHAM, AL

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2026-03-06
S65 Uniform Investment Adviser Law Examination 2022-04-16
  • S63 Uniform Securities Agent State Law Examination
    2026-03-06
  • S65 Uniform Investment Adviser Law Examination
    2022-04-16

View on SEC IAPD

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Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · BIRMINGHAM, AL
PFS INVESTMENTS INC. · HOOVER, AL
PMD ADVISORY · HOOVER, AL
CETERA INVESTMENT ADVISERS LLC · BIRMINGHAM, AL
CETERA INVESTMENT ADVISERS LLC · HOOVER, AL
NFSG CORPORATION · HOOVER, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Hoover, AL
PFS INVESTMENTS INC. · HOOVER, AL

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