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Dorothy Carol Wozny

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
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

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