Timothy John Brisson

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-12-09
VT	RA	APPROVED	2007-07-25

TX RA
APPROVED

Since 2020-12-09
VT RA
APPROVED

Since 2007-07-25

Branch Locations

Burlington, VT • United States

Northeast Planning Associates, Inc.

43 Constitution Drive, Bedford, NH 03110 • United States

Current Registrations

Authority	Category	Status	Date
VT	RA	APPROVED	2004-11-24

VT RA
APPROVED

Since 2004-11-24

Branch Locations

43 Constitution Drive, Bedford, NH 03110 • United States

Burlington, VT • 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

Organization	City	State	From	To
Northeast Planning Associates, Inc.	Burlington	VT	06/1989	Present
Lpl Financial Llc	Burlington	VT	07/2007	Present

06/1989 → Present

Northeast Planning Associates, Inc.

Burlington, VT
07/2007 → Present

Lpl Financial Llc

Burlington, VT

Previous Registrations

2003-12-17 → 2004-11-19

Mutual Service Corporation

Milton, VT
1997-06-30 → 2003-12-04

Veravest Investment Advisors, Inc.

Bedford, NH

Other Businesses

1. 7/24/2007 - Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 7/24/2007 - No Business Name - Investment Related - At Reported Business Location(s) - LTC, term and fixed annuity - INDEPENDENT INSURANCE AGENT - LTC, term and fixed annuity. 3. 7/24/2007 - B2BVT - Community, Civic and Charitable Board - NOT INV REL - AT REPORTED BUSINESS LOCATION - President of referral organization (Business 2 Business Vermont) - 1% TIME SPENT. 4. 11/16/2007 - Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Time Spent 5% - RIA provides financial planning for a fixed and/or hourly fee. 5. 10/07/2016 - No Business Name - Investment Related - 16 Allard Drive, St.Albans, VT 05478 - Real Estate Rental - Started 08/01/2016 - 1 Hours Per Month/0 Hours During Securities Trading - Wife owns this property. 2 bedroom double wide manufactured home. 6. 10/7/2016 - No Business Name - Investment Related - 2-102 Evergreen Drive, Milton, VT 05468 - Real Estate Rental - Started 08/01/2016 - 1 Hour Per Month/0 Hours During Securities Trading - 2 bedroom condo

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-04-21
S63	Uniform Securities Agent State Law Examination	1989-09-19

S65 Uniform Investment Adviser Law Examination

1997-04-21
S63 Uniform Securities Agent State Law Examination

1989-09-19

Designations

Chartered Financial Consultant

Other Names

Tim Brisson

View on SEC IAPD