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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2026-05-14
DE RA APPROVED 2022-11-29
TX RA APPROVED 2022-11-29
  • PA RA
    APPROVED
    Since 2026-05-14
  • DE RA
    APPROVED
    Since 2022-11-29
  • TX RA
    APPROVED
    Since 2022-11-29

Branch Locations

Landenberg, PA • United States

5818 Kennett Pike, Wilmington, DE 19807 • 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
Dean Witter Reynolds Wilmington DE 06/2000 11/2022
Financial House, Inc. Wilmington DE 04/2006 Present
Jefferson Pilot Securities Concord NH 04/2006 11/2022
Jefferson Pilot Securities Concord NH 04/2006 11/2022
Independent Advisers Group Corp Wilmington DE 04/2006 11/2022
Lpl Financial Llc Centreville DE 11/2022 Present
  • 06/2000 → 11/2022
    Dean Witter Reynolds
    Wilmington, DE
  • 04/2006 → Present
    Financial House, Inc.
    Wilmington, DE
  • 04/2006 → 11/2022
    Jefferson Pilot Securities
    Concord, NH
  • 04/2006 → 11/2022
    Jefferson Pilot Securities
    Concord, NH
  • 04/2006 → 11/2022
    Independent Advisers Group Corp
    Wilmington, DE
  • 11/2022 → Present
    Centreville, DE
Previous Registrations
  • 2012-08-30 → 2022-12-06
    Osaic Fs, Inc.
    Wilmington, DE
  • 2006-04-26 → 2016-12-22
    Independent Advisers Group Corp
    Wilmington, DE
    Boston, MA
  • 2006-04-06 → 2013-12-31
    Financial House, Inc.
    Centerville, DE
  • 2001-01-16 → 2006-03-21
    Morgan Stanley Dw Inc.
    Wilmington, DE
Other Businesses

1) 11/2022- Financial House- DBA for LPL Business (entity for LPL business)- inv. related- Centerville, DE 2) 11/2022- CFC Inc.- Non-Variable Insurance- owner- Disability, Fixed Annuities, LTC, and Life - inv. related- Centerville, DE - start date 3/6/2006- 4hrs/mth 3) 11/2022- Road 9 LLC- Real Estate Rental- part owner/partner- inv. related- 5818 Kennett Pike, Centreville DE 19807- start date 2/1/2011- 1hrs 4) 05/31/2024 - Financial House Advisors, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/01/2024 - 10 Hours Per Month/ 8 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-09-13
  • S66 Uniform Combined State Law Examination
    2000-09-13
Designations

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