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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-08-11 |
| MA | RA | APPROVED | 2008-07-03 |
Branch Locations
288 Union St, Rockland, MA 02370 • United States
Queen Anne'S Plaza, Norwell, MA 02061 • United States
Routes 14 & 36 147 Center Street, Pembroke, MA 02359 • United States
470 Liberty St, Hanson, MA 02341 • United States
Rockland Trust 381 Centre Street, Abington, MA 02351 • United States
Rockland Trust 692 Bedford Street, Whitman, MA 02382 • United States
Rockland Trust 233 Broad Street, Bridgewater, MA 02324 • United States
Rockland Trust 485 Belmont Street, Brockton, MA 02301 • United States
434 Plymouth St, Halifax, MA 02338 • United States
100 Belmont Street, Brockton, MA 02301 • United States
495 Hancock St, North Quincy, MA 02170 • United States
608 Washington Street, Stoughton, MA 02072 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Rockland | MA | 06/2006 | Present |
1. 06/16/2006: NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - SALES OF FIXED ANNUITIES AND TERM/WHOLE LIFE INSURANCE THROUGH SBLI OF MA - TIME SPENT 10%. 2. 06/16/2006: ROCKLAND TRUST FINANCIAL SERVICES - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION. 3. 06/16/2006: ROCKLAND TRUST COMPANY - FINANCIAL INSTITUTION DUTY - NOT INV REL - AT REPORTED BUSINESS LOCATION - FA will introduce Rockland clients to bank trust dept asset mgmt accounts. Amounts over 500k; FA will refer client to trust dept (recive 60 bps fee); Amt under 500k FA will refer to portfolio mgr (75 bps fee + 25 ongoing bps). 4. 8/17/2010: U S ARMY RESERVE - ARMY - NOT INV REL - AT REPORTED BUSINESS LOCATION - U S Army Reserve, LTC, command and control of soldiers and equipment - 10% TIME SPENT. 5. 9/21/2010: NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - SALES OF FIXED LIFE AND ANNUITY BUSINESS THROUGH MARCUS AGENCY - 2% TIME SPENT. 6. 6/13/2011: CAPITAS FINANCIAL, LLC - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - SELLING INSURANCE AND LTC THROUGH THE SMITH COMPANIES, LTD., CAPITAS FINANCIAL - TIME SPENT 5%. 7. 3/20/2012: ROCKLAND TRUST INVESTMENT MANAGEMENT GROUP - FINANCIAL INSTITUTION DUTY - NOT INV REL - AT REPORTED BUSINESS LOCATION - THE FA WILL MANAGE BOTH LPL FINANCIAL ACCOUNTS AND ACT AS A RELATIONSHIP MANAGER AND/OR BUSINESS DEVELOPMENT OFFICER FOR THE TRUST/WEALTH MANAGEMENT DEPARTMENT OF ROCKLAND TRUST'S TRUST/WEALTH MANAGEMENT GROUP - TIME SPENT 25%. 8. 4/10/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 04/16/2018 - 15 Hours Per Month/5 Hours During Securities Trading. 9. 5/3/2019 - RT INVESTMENT SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 10. 3/8/2023 - BSMG - Investment - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 02/01/2023 - 5 Hours Per Month/2 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-06-14 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-10 |
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