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Michael Clay Mashburn

LPl Financial LLC

Vestavia Hills, 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 2020-04-13
AL RA APPROVED 2020-03-26
  • TX RA
    APPROVED
    Since 2020-04-13
  • AL RA
    APPROVED
    Since 2020-03-26

Branch Locations

3288 Morgan Dr Ste 112, Vestavia Hills, 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
Triad Advisors, Inc. Norcross GA 06/2006 02/2020
Horizons Financial Group, Inc. Birmingham AL 06/2006 02/2020
Horizons Financial Insurance Group, Llc. (Formerly Nix-Mashburn) Birmingham AL 06/2006 02/2020
Lpl Financial Llc Birmingham AL 03/2020 Present
  • 06/2006 → 02/2020
    Triad Advisors, Inc.
    Norcross, GA
  • 06/2006 → 02/2020
    Horizons Financial Group, Inc.
    Birmingham, AL
  • 06/2006 → 02/2020
    Horizons Financial Insurance Group, Llc. (Formerly Nix-Mashburn)
    Birmingham, AL
  • 03/2020 → Present
    Birmingham, AL
Previous Registrations
  • 2008-01-07 → 2020-03-25
    Horizons Financial Group, Inc.
    Birmingham, AL
  • 2006-06-02 → 2008-01-08
    Triad Advisors Llc
    Birmingham, AL
    Birmingham, AL
  • 2002-06-11 → 2006-06-03
    Birmingham, AL
    Birmingham, AL
Other Businesses

1) Non-Variable Insurance - inv rel - at reported business location(s) - start: 03/2020 - 16 hr/mth 2) 07/05/2022 - Mashburn Financial LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 06/01/2022 - 4 Hours Per Month/0 Hours During Securities Trading. 3) 08/08/2022- GrandView Financial Group-Investment Related- At Reported Business Location(s) - DBA for LPL Business (entity for LPL business)- Start Date- 06/02/2021- 160 Hours Per Month/ 160 Hours During Securities Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-21
S63 Uniform Securities Agent State Law Examination 1986-07-15
  • S65 Uniform Investment Adviser Law Examination
    1999-09-21
  • S63 Uniform Securities Agent State Law Examination
    1986-07-15
Other Names
  • Michael Clay Mashburn
  • Mike Mashburn

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