BC
Blake Chambers
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CRD#: 7617671
BC
Blake Chambers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Blake Chambers was a registered financial professional .
Blake is a previously registered financial professional and started their career in finance in 2022. Blake had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Aliases
None
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.
WALGREENS POSITION: Shift Lead NATURE: Retail Sales INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 24 START DATE: 09/25/2023 ADDRESS: 2575 Main St, Cross Plains WI 53528, United States DESCRIPTION: Opens and closes the store in the absence of store management, including all required systems start-ups, required cash handling, and ensuring the floor and stock room are ready for the business day. Responsible for opening back door of store for deliveries. Completes product returns, order voids, customer refunds, cash drops to the safe, and provides change as requested to cash registers. Operations: Responsible for holding store keys to open and close without management as necessary. Responsible and accountable for registering all related sales on assigned cash register, including records of scanning errors, price verifications, items not on file, price modifications, and voids. Assists manager or assistant store manager in reviewing order exceptions on order release day and assists in reverse logistics (e.g., 1506, returns, empty package). Assists manager or assistant store manager in evaluating and developing displays, including promotional, seasonal, super structures, and sale merchandise. Completes resets and revisions. Maintains accurate inventory counts; maintains the accuracy of on-hand quantities including, but not limited to, basic departments, stockroom, and overstock locations. Assist with ensuring the Outdate program is followed with team members. Responsible for basic department pricing and making daily price changes; ensures proper signage is displayed at the store to support accurate pricing of products. Ensures any additional pricing tasks related to local regulations and/or regulatory compliance programs are completed accurately and within the required time frame. Assist with bookkeeping activities, including cash report, cash counts, ledgers, and bill payment as necessary or as requested. Assists with exterior and interior maintenance by ensuring clean, neat, orderly store condition and appearance, including requesting store or system repairs as required in manager absence, or as requested by manager. Assist at Pharmacy out window as requested. Ensures compliance with state and local laws regarding regulated products (e.g., alcoholic beverages and tobacco products). Responsible for bag checks of team members before leaving the store. Complies with all company policies and procedures; maintains respectful relationships with coworkers. Completes special assignments and other tasks as assigned. Training & Personal Development Attends training and completes PPLs requested by Manager. Obtains and maintains valid PTCB certification or pharmacy license as required by state. Communications Serves as a liaison between management and non-management team members by communicating assigned tasks to team members when store management is not present. Reports disciplinary issues and customer complaints to management.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
November 14, 2024 - December 16, 2024
LPL ENTERPRISE, LLC
RIA
CRD#: 8733
WAUWATOSA, WI
Past
November 14, 2024 - December 16, 2024
LPL ENTERPRISE, LLC
BD
CRD#: 8733
WAUWATOSA, WI
Past
November 3, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
WAUWATOSA, WI
Past
October 3, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
WAUWATOSA, WI
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
PR
Series 7TO
Passed: 10/3/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
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)
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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
5,215
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 | |
| EVANGELIOU, KIRIAKOS ANDREAS | SVP, CHIEF COMPLIANCE OFFICER | 2496177 |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
Regulatory assets under management
| Total Number of Accounts | 139,192 |
| AUM (Assets Under Management) | $ 24,939,385,373 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2026 | ||
| 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.
