FINRA BrokerCheck Report
| State | Category | Status | Effective Date |
|---|---|---|---|
| Alabama | Agent | Approved | 08/26/2024 |
| Florida | Agent | Approved | 05/04/2022 |
| Georgia | Agent | Approved | 11/03/2025 |
| Illinois | Agent | Approved | 05/04/2022 |
| Kansas | Agent | Approved | 08/26/2024 |
| Kentucky | Agent | Approved | 07/07/2022 |
| Maryland | Agent | Approved | 09/25/2024 |
| Minnesota | Agent | Approved | 08/26/2024 |
| Mississippi | Agent | Approved | 05/04/2022 |
| Missouri | Agent | Approved | 08/26/2024 |
| New Hampshire | Agent | Approved | 09/18/2024 |
| New Jersey | Agent | Approved | 08/26/2024 |
| New York | Agent | Approved | 05/04/2022 |
| North Carolina | Agent | Approved | 05/04/2022 |
| Oregon | Agent | Approved | 08/26/2024 |
| Pennsylvania | Agent | Approved | 04/17/2023 |
| South Carolina | Agent | Approved | 03/22/2023 |
| Tennessee | Agent & Investment Adviser | Approved | 05/04/2022 |
| Virginia | Agent | Approved | 05/11/2022 |
No principal/supervisory exams reported.
| Registration Dates | Firm Name | CRD# | Branch Location | Type | Status |
|---|---|---|---|---|---|
| 05/2022 - Present | LPL Financial LLC | 6413 | Clarksville, TN | B, IA | Current |
| 06/2018 - 05/2022 | Ameriprise Financial Services, LLC | 6363 | Gallatin, TN | B, IA | Former |
| 06/2015 - 09/2018 | Investment Professionals, Inc. | 30184 | Brentwood, TN | B, IA | Former |
| 07/2013 - 06/2015 | LPL Financial LLC | 6413 | Clarksville, TN | IA | Former |
| 10/2011 - 06/2015 | LPL Financial LLC | 6413 | Clarksville, TN | B | Former |
| 05/2012 - 10/2013 | Stratos Wealth Partners, Ltd | 153184 | Franklin, TN | IA | Former |
| 10/2011 - 05/2012 | LPL Financial LLC | 6413 | Clarksville, TN | IA | Former |
| 06/2011 - 10/2011 | UVEST Financial Services Group, Inc. | 13787 | Murfreesboro, TN | B, IA | Former |
| 10/2009 - 06/2011 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 7691 | Brentwood, TN | B, IA | Former |
| 07/2009 - 10/2009 | Waddell & Reed, Inc. | 866 | Nashville, TN | IA | Former |
| 06/2009 - 10/2009 | Waddell & Reed, Inc. | 866 | Nashville, TN | B | Former |
B = Broker | IA = Investment Adviser
This broker has no reported customer complaints, arbitrations, regulatory actions, employment terminations, bankruptcy filings, or criminal/civil judicial proceedings.
This BrokerCheck report provides information on all current, and many former, registered securities brokers, and all current and former registered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background of securities brokers and brokerage firms before deciding to conduct business with them.