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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-01-01
TX RA APPROVED_RES 2024-04-18
  • FL RA
    APPROVED
    Since 2025-01-01
  • TX RA
    APPROVED_RES
    Since 2024-04-18

Branch Locations

Lake Worth Beach, FL • United States

Disclosures

1 disclosure category 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 No
Employment History
OrganizationCityStateFromTo
Proequities, Inc Norh Beach Gardens FL 06/2010 08/2018
Massmutual Life Insurance Company West Palm Beach FL 07/2018 04/2024
Mml Investors Services, Llc West Palm Beach FL 08/2018 04/2024
Lpl Financial Llc Worth Beach FL 04/2024 Present
  • 06/2010 → 08/2018
    Proequities, Inc
    Norh Beach Gardens, FL
  • 07/2018 → 04/2024
    Massmutual Life Insurance Company
    West Palm Beach, FL
  • 08/2018 → 04/2024
    West Palm Beach, FL
  • 04/2024 → Present
    Worth Beach, FL
Previous Registrations
  • 2018-08-20 → 2024-04-19
    West Palm Beach, FL
  • 2010-06-30 → 2018-08-30
    Concourse Financial Group Securities, Inc.
    Palm Beach Gardens, FL
    Birmingham, AL
    West Palm Beach, FL
    North Palm Beach, FL
  • 2007-11-15 → 2010-05-28
    Uvest Financial Services Group, Inc.
    Palm Beach Gardens, FL
    Palm Beach, FL
    Singer Island, FL
    Singer Island, FL
    Chicago, IL
  • 2005-12-06 → 2007-11-08
    A. G. Edwards & Sons, Inc.
    West Palm Beach, FL
  • 2005-02-09 → 2005-12-21
    Advest, Inc.
    Palm Beach Gardens, FL
  • 2004-10-20 → 2005-02-01
    Banc Of America Investment Services, Inc.
    West Palm Beach, FL
  • 2003-02-24 → 2004-10-20
    Quick & Reilly, Inc.
    Palm Beach, FL
  • 2000-09-26 → 2003-02-20
    Morgan Stanley Dw Inc.
    West Palm Beach, FL
Other Businesses

1) 04/03/2024 - Non-Variable Insurance - Selling: Mass Mutual Fixed Life and fixed annuity policies - FL 33460 - Investment related - 2 Hours per month - Start date: 04/18/2024. 2) 03/20/2024 - Chanda Financial LLC - Business Entity For Tax/Investment Purposes Only - Investment fees and commissions - FL 33460 - Non investment related - 5% Time spent - Start date: 2/27/2015.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-04
  • S66 Uniform Combined State Law Examination
    2000-10-04

View on SEC IAPD

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