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Sarah Frances Pott

LPl Financial LLC

Cincinnati, OH

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2024-06-05
  • OH RA
    APPROVED
    Since 2024-06-05

Branch Locations

6581 Harrison Ave., Cincinnati, OH 45247 • 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
Larosa's Pizzeria Cincinnati OH 06/2018 05/2023
Fidelity Covington KY 05/2023 04/2024
Colerain High School Cincinnati OH 08/2016 06/2020
University Of Cincinnati Cincinnati OH 08/2020 05/2023
Lcnb National Bank Cincinnati OH 04/2024 Present
Lpl Financial Llc Cincinnati OH 04/2024 Present
  • 06/2018 → 05/2023
    Larosa's Pizzeria
    Cincinnati, OH
  • 05/2023 → 04/2024
    Fidelity
    Covington, KY
  • 08/2016 → 06/2020
    Colerain High School
    Cincinnati, OH
  • 08/2020 → 05/2023
    University Of Cincinnati
    Cincinnati, OH
  • 04/2024 → Present
    Lcnb National Bank
    Cincinnati, OH
  • 04/2024 → Present
    Lpl Financial Llc
    Cincinnati, OH
Other Businesses

1) 04/2024 - LCNB Investment Services / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-06-04
S63 Uniform Securities Agent State Law Examination 2023-08-16
  • S66 Uniform Combined State Law Examination
    2024-06-04
  • S63 Uniform Securities Agent State Law Examination
    2023-08-16
Other Names
  • Sarah Frances Pott
  • Sarah Pott

View on SEC IAPD

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STIFEL, NICOLAUS & COMPANY, INCORPORATED

Other Investors

JEFFREY JOSEPH SPITZMILLER
ANDERS KRISTIAN JUEL
CHARLES FREDERICK HAIS
CHRISTOPHER CHARLES HAIS
CHARLES MICHAEL HAIS
JEFFREY ROBERT WALKUP
MICHAEL WILLIAM POPIL
BETH OKABAYASHI HODGES

Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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