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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2024-08-30
NC RA APPROVED 2024-08-29
OH RA APPROVED 2024-08-28
  • SC RA
    APPROVED
    Since 2024-08-30
  • NC RA
    APPROVED
    Since 2024-08-29
  • OH RA
    APPROVED
    Since 2024-08-28

Branch Locations

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

Corolla, NC • 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 Corolla NC 12/2014 Present
Previous Registrations
  • 2015-01-20 → 2024-06-06
    Beavercreek, OH
    Fort Mill, SC
    Beavercreek, OH
    Fort Mill, SC
    Beavercreek, OH
  • 2014-01-27 → 2014-11-14
    Cincinnati, OH
  • 2007-05-22 → 2014-01-17
    Cincinnati, OH
    Lima, OH
    Dayton, OH
    Lima, OH
    Greenfield, OH
    West Union, OH
    Leesburg, OH
    Russellville, OH
    Hillsboro, OH
    Georgetown, OH
    Wilmington, OH
    Wilmington, OH
    Lynchburg, OH
    Waverly, OH
    Chillicothe, OH
    Peebles, OH
  • 2004-01-19 → 2004-08-11
    Oceanside, CA
Other Businesses

1) 04/29/2025-Roxane Miller-Cleaner-Outside/W-2 Employment-Not inv related-At Corolla, NC- Start date 06/01/2025-12hrs/mth-0hrs/mth during trading 2) 04/29/2025-The North End Company LLC-Pool cleaner-Outside/W-2 Employment-Not inv related-At Corolla, NC-Start date 05/19/2025-30hrs/mth-3hrs/mth during trading 3) 10/15/2025-Sapphire Court Reporting-Scoping-Outside/W-2 Employment-Not inv related-At Corolla, NC-Start date 10/20/2025-40hrs/mth-5hrs/mth during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-01-16
S63 Uniform Securities Agent State Law Examination 1998-09-16
  • S66 Uniform Combined State Law Examination
    2004-01-16
  • S63 Uniform Securities Agent State Law Examination
    1998-09-16
Other Names
  • Roxie Miller
  • Roxane Hassan
  • Roxane Kay Parades
  • Roxie Hassan
  • Roxane Kay Hassan

View on SEC IAPD

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