LT
LT
Laurence Tipton
25 Years of Experience
Birmingham, AL
1 DisclosureBrokerSells Insurance
Laurence Tipton is a registered investment advisor, based in Birmingham, AL, with 25 years of industry experience.
Location
100 Centerview Drive, Suite 249, Birmingham, AL, 35216
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Regulatory History (1)
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Customer Dispute
August 2014Denied
Other Business ActivitiesSells Insurance
Laurence is an independent insurance agent for various companies, dedicating a few hours per week to this activity. He is also the president of Tipton Advisory Group, an advisory representative of CIRA, and an IAR for Prosper Financial Planning, spending nearly full-time hours on these investment-related roles.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
February 2024 - Present · 2 yrs 5 mos
Cambridge Investment Research Advisors, INC.
February 2024 - Present · 2 yrs 5 mos
Previous Registrations
Capital Investment Advisory Services, LLC
September 2020 - February 2024 · 3 yrs 5 mos
Capital Investment Group, INC.Broker
September 2020 - February 2024 · 3 yrs 5 mos
Wells Fargo Clearing Services, LLC
October 2017 - September 2020 · 2 yrs 11 mos
Wells Fargo Clearing Services, LLCBroker
September 2017 - September 2020 · 3 yrs
Wells Fargo Clearing Services, LLC
September 2017 - October 2017 · 1 mo
Cetera Advisors LLC
April 2015 - October 2017 · 2 yrs 6 mos
Cetera Advisors LLCBroker
March 2015 - October 2017 · 2 yrs 7 mos
Capital Investment Advisory Services, LLC
February 2013 - April 2015 · 2 yrs 2 mos
Cic Advisers, LLC
August 2011 - December 2012 · 1 yr 4 mos
Capital Investment Group, INC.Broker
March 2011 - April 2015 · 4 yrs 1 mo
W. R. Taylor & Company, LLCBroker
March 2006 - March 2011 · 5 yrs
W.R. Taylor & Company, LLC
March 2006 - March 2011 · 5 yrs
UBS Financial Services INC.
February 2003 - March 2006 · 3 yrs 1 mo
UBS Financial Services INC.Broker
February 2003 - March 2006 · 3 yrs 1 mo
Morgan Stanley
April 2001 - February 2003 · 1 yr 10 mos
Morgan Stanley Dw INC.Broker
July 2000 - February 2003 · 2 yrs 7 mos
State Registrations5 states
ALARFLGAOK
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.