Best Investors Account Sign in
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-04-20
MA RA APPROVED 2022-05-20
TX RA APPROVED_RES 2022-05-10
  • FL RA
    APPROVED
    Since 2026-04-20
  • MA RA
    APPROVED
    Since 2022-05-20
  • TX RA
    APPROVED_RES
    Since 2022-05-10

Branch Locations

Palm Beach Gardens, FL • United States

Sudbury, MA • United States

43 Constitution Dr., Bedford, NH 03110 • United States

Northeast Planning Associates, Inc.

43 Constitution Drive, Bedford, NH 03110 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2022-06-16
  • MA RA
    APPROVED
    Since 2022-06-16

Branch Locations

43 Constitution Drive, Bedford, NH 03110 • United States

Sudbury, MA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Kovack Securities, Inc. Fort Lauderdale FL 02/2007 05/2022
Kovack Advisors, Inc. Fort Lauderdale FL 02/2007 05/2022
Lpl Financial, Llc Sudbury MA 05/2022 Present
Northeast Planning Associates, Inc. Sudbury MA 05/2022 Present
Previous Registrations
Other Businesses

1- 05/2022 / DBA for LPL Business (entity for LPL business) / Northeast Planning Associates / Investment Related / Sudbury, MA 2- 11/2007 / Notary in Commonwealth of Massachusetts / Other- Notary / Investment Related / Sudbury, MA 3- 02/2007 / Non-Variable Insurance / Investment Related / Sudbury, MA 4- 07/2008 / Michael Woodman Trust / Real Estate Rental / Investment Related / 961 Abaco Ln Riviera Beach, FL 33404 and 11024 Legacy Dr Apt 304 Palm Beach 5- 05/27/2022 - Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR/Advisor - Start Date - 2/1/21 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 90% - I provide financial planning and consulting services through Northeast Planning Associates, an independent investment advisor firm. I started this business activity in 2/2021. I expect to spend approximately [#] hours per month on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 6- 09/06/2024 - Real Estate Rental - Investment Related - Palm Beach Gardens, Florida - Start Date 07/01/2024 - 5 Hours Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-21
S63 Uniform Securities Agent State Law Examination 1989-06-14
  • S65 Uniform Investment Adviser Law Examination
    1999-12-21
  • S63 Uniform Securities Agent State Law Examination
    1989-06-14
Designations

View on SEC IAPD

More in Palm Beach Gardens, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor