LM
Lauren S. Mitchell
LPL FINANCIAL LLC
San Diego, CA 92121-3091
Some features on this profile are disabled
CRD#: 4752852
LM
Professional summary
Lauren Schultz Mitchell, who also goes by Lauren Kimberly Schultz, is a registered financial professional currently at LPL FINANCIAL LLC located in San Diego, California and LPL ENTERPRISE, LLC located in Fort Mill, South Carolina.
Lauren is registered as a RR (Registered Representative) and started their career in finance in 2004. Lauren has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lauren Kimberly Schultz
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Lauren Schultz Mitchell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 12, 2010 - Present
LPL FINANCIAL LLC
Office #1: 4707 Executive Dr, San Diego, CA 92121-3091RIA
BD
CRD#: 6413
San Diego, CA
Current
August 21, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1055 Lpl Way, Fort Mill, SC 29715RIA
BD
CRD#: 8733
Fort Mill, SC
Past
October 2, 2008 - March 26, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
May 28, 2004 - August 22, 2008
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
WOODLAND HILLS, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/13/2017)
RR
Alaska(3/13/2017)
RR
Arizona(3/13/2017)
RR
Arkansas(3/13/2017)
RR
California(3/12/2010)
RR
Colorado(3/13/2017)
RR
Connecticut(3/13/2017)
RR
Delaware(3/13/2017)
RR
District of Columbia(3/13/2017)
RR
Florida(3/13/2017)
RR
Georgia(3/13/2017)
RR
Hawaii(3/13/2017)
RR
Idaho(3/13/2017)
RR
Illinois(3/13/2017)
RR
Indiana(3/13/2017)
RR
Iowa(3/13/2017)
RR
Kansas(3/13/2017)
RR
Kentucky(3/13/2017)
RR
Louisiana(3/13/2017)
RR
Maine(3/13/2017)
RR
Maryland(3/13/2017)
RR
Massachusetts(3/13/2017)
RR
Michigan(3/13/2017)
RR
Minnesota(3/13/2017)
RR
Mississippi(3/13/2017)
RR
Missouri(3/13/2017)
RR
Montana(3/13/2017)
RR
Nebraska(3/13/2017)
RR
Nevada(3/13/2017)
RR
New Hampshire(3/13/2017)
RR
New Jersey(3/13/2017)
RR
New Mexico(3/13/2017)
RR
New York(3/13/2017)
RR
North Carolina(3/14/2017)
RR
North Dakota(3/13/2017)
RR
Ohio(3/14/2017)
RR
Oklahoma(3/13/2017)
RR
Oregon(3/13/2017)
RR
Pennsylvania(3/13/2017)
RR
Puerto Rico(9/30/2021)
RR
Rhode Island(3/13/2017)
RR
South Carolina(3/13/2017)
RR
South Dakota(3/13/2017)
RR
Tennessee(3/13/2017)
RR
Texas(3/13/2017)
RR
Utah(3/13/2017)
RR
Vermont(3/13/2017)
RR
Virginia(3/13/2017)
RR
Washington(3/13/2017)
RR
West Virginia(3/13/2017)
RR
Wisconsin(3/13/2017)
RR
Wyoming(3/13/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
