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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-06-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Simsbury | CT | 06/2013 | 01/2021 |
| Securities America, Inc. | Waterbury | CT | 01/2021 | 06/2024 |
| Securities America Advisors | Waterbury | CT | 01/2021 | 06/2024 |
| Lpl Financial Llc | Waterbury | CT | 06/2024 | Present |
1) 06/06/2024 - Coleman Financial Advisory Group LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 06/06/2024 - Thomas LaPointe - Notary - CT 06708 - Investment related - 1 Hour per month - Start date: 04/13/2024.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-10-12 |
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