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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-06-09 |
| MA | RA | APPROVED | 2016-05-16 |
Branch Locations
200 Lowder Brook Dr Ste 2100, Westwood, MA 02090 • United States
Wayland, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Waltham | MA | 04/2016 | Present |
| Bay Financial Advisors, Inc. | Waltham | MA | 04/2016 | 12/2018 |
1) 06/24/2016: No Business Name - Teacher - INV REL - Start 01/01/2012 - Boston University Commonwealth Ave, Boston, MA - 0 Hr/Mo - teacher, CFP course. 2) 9/23/2020 - Bay Financial Associates - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/31/2017 - 160 Hours Per Month/7 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-05-21 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-23 |
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