Best Investors Account Sign in

Dorothy Carol Wozny

LPl Financial LLC

Birmingham, AL

CRD 1423914

Claim This Profile
Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-02-11
AL RA APPROVED 2010-04-19
  • TX RA
    APPROVED_RES
    Since 2013-02-11
  • AL RA
    APPROVED
    Since 2010-04-19

Branch Locations

100 Centerview Dr. #140, Birmingham, AL 35216 • 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 Birmingham AL 12/2009 Present
Other Businesses

1. 12/15/2009 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - L.V. BERRY, INC. - INVESTMENT RELATED - BIRMINGHAM, AL.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-04-15
  • S66 Uniform Combined State Law Examination
    2010-04-15

View on SEC IAPD

Nearby Firms

THRIVENT INVESTMENT MANAGEMENT INC.
PFS INVESTMENTS INC.
PMD ADVISORY

Nearby Investors

THOMAS MICHAEL NOON
Susan Hunter Koski
Luke Banks

Nearby Offices

THRIVENT INVESTMENT MANAGEMENT INC. · BIRMINGHAM, AL
PFS INVESTMENTS INC. · HOOVER, AL
PMD ADVISORY · HOOVER, AL

More in Birmingham, AL

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor