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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| NJ | RA | APPROVED | 2017-11-29 |
Branch Locations
70 Floral Ave, New Providence, NJ 07974 • United States
26 Watchogue Road, Staten Island, NY 10314 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Staten Island | NY | 08/2012 | 11/2017 |
| Lpl Financial Llc | New Providence | NJ | 11/2017 | Present |
1. 11/29/2017 - Falbo Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Assistant - Start Date 2/1/2013 - 80 Hours Per Month / 60 Hours During Trading - 60% Time Spent - Works for Joseph Falbo and helps his clients as it pertains to service request; Paperwork & Presentation. 2. 11/29/2017 - Inspire Investment Solutions LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Financial Advisor - Start Date 08/01/2011 - 140 Hours Per Month / 120 Hours During Trading. 3. 11/29/2017 - Barbera & Barbera CPAs - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date 3/1/2015 - 3 Hours Per Month / 0 Hours During Trading - Tax work during tax season. 4. 4/23/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/01/2019 - 1 Hour Per Month During Securities Trading. 5. 10/13/2023 - Lotus Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/06/2023 - 1 Hour Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-10-04 |
| S66 | Uniform Combined State Law Examination | 2001-06-02 |
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