Best Investors Account Sign in
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-10-19
TX RA APPROVED 2021-12-15
CT RA APPROVED 2021-12-01
  • NY RA
    APPROVED
    Since 2022-10-19
  • TX RA
    APPROVED
    Since 2021-12-15
  • CT RA
    APPROVED
    Since 2021-12-01

Branch Locations

Fairfield, CT • United States

263 Tresser Blvd. First Floor, Stamford, CT 06901 • United States

325 Route 100, Somers, NY 10589 • 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
OrganizationCityStateFromTo
Standard New York Securities, Inc. New York NY 07/2011 09/2016
Unemployed Westport CT 10/2016 02/2017
Penn Mutual Life Horsham PA 02/2017 07/2020
Hornor Townsend & Kent Inc Horsham PA 03/2017 07/2020
Lpl Financial Llc Stamford CT 07/2020 Present
Private Advisor Group, Llc Farmington CT 08/2020 11/2021
Sterling National Bank Somers NY 12/2021 Present
  • 07/2011 → 09/2016
    Standard New York Securities, Inc.
    New York, NY
  • 10/2016 → 02/2017
    Unemployed
    Westport, CT
  • 02/2017 → 07/2020
    Penn Mutual Life
    Horsham, PA
  • 03/2017 → 07/2020
    Hornor Townsend & Kent Inc
    Horsham, PA
  • 07/2020 → Present
    Stamford, CT
  • 08/2020 → 11/2021
    Farmington, CT
  • 12/2021 → Present
    Sterling National Bank
    Somers, NY
Previous Registrations
Other Businesses

1)7/27/2020- Nolan Menachemson- Tax Prep/Accounting/CPA- Inv. Related- Farmington, CT -start date 1/1/2017- 6hrs/mth 2)7/27/2020- Non-Variable Insurance- Agent selling life, health, disability, LTC, fixed annuities, P&C -Inv. Related- Westport, CT-start date 7/1/2020- 20hrs/mth 3) 12/10/2021 - American Strategic Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/29/2021 - 160 Hours Per Month/4 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-03-28
S63 Uniform Securities Agent State Law Examination 2000-07-19
  • S65 Uniform Investment Adviser Law Examination
    2017-03-28
  • S63 Uniform Securities Agent State Law Examination
    2000-07-19

View on SEC IAPD

More in Fairfield, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor