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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-08-17
  • CT RA
    APPROVED
    Since 2022-08-17

Branch Locations

1940 Black Rock Turnpike, Fairfield, CT 06825 • United States

1237 Stratfield Rd, Fairfield, CT 06825 • United States

850 Main Street, Bridgeport, CT 06604 • United States

1055 Post Road, Fairfield, CT 06824 • United States

411 Old Post Road, Southport, CT 06890 • United States

Huntington, CT • 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
People'S United Advisors, Inc. Fairfield CT 05/2018 Present
Lpl Financial Llc Fairfield CT 08/2022 Present
Lpl Financial Llc Fairfield CT 08/2022 Present
People'S Securities, Inc. Fairfield CT 06/2000 Present
  • 05/2018 → Present
    People'S United Advisors, Inc.
    Fairfield, CT
  • 08/2022 → Present
    Fairfield, CT
  • 08/2022 → Present
    Fairfield, CT
  • 06/2000 → Present
    People'S Securities, Inc.
    Fairfield, CT
Previous Registrations
  • 2018-05-22 → 2022-08-17
    People'S United Advisors, Inc.
    Fairfield, CT
  • 2004-03-12 → 2020-03-31
    People'S Securities, Inc.
    Fairfield, CT
    Bridgeport, CT
    Fairfield, CT
    Wilton, CT
    Wilton, CT
    Southport, CT
    Bridgeport, CT
    Westport, CT
    Bridgeport, CT
    Bridgeport, CT
Other Businesses

1. 08/18/2022 - Wilmington Advisors @ M&T - Investment Related - At Reported Business Location)s) - DBA for LPL Business (entity for LPL business) - Advisor - Start Date - 04/04/2022 - 160 Hours Per Month/160 Hours During Securities Trading. 2. 08/18/2022 - No Business Name - Investment Related - Bridgeport CT 06606 - Real Estate Rental - Landlord - Start Date - 06/07/2020 - 8 Hours Per Month/0 Hours During Securities Trading. 3. 08/18/2022 - No Business Name - Investment Related - Wilmington VT 05363 - Real Estate Rental - Owner - Start Date - 06/16/2010 - 1 Hours Per Month/0 Hours During Securities Trading. 4. 08/18/2022 - No Business Name - Not Investment Related - Huntington CT 06484-2001 - Outside/W-2 Employment - Product Tester/ Mystery Shopper/Paid survey - Start Date - 06/16/2016 - 1 Hours Per Month/0 Hours During Securities Trading - Mystery shopper for restaurants & retail stores, online paid surveys, Household Product Testing.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-01-30
S63 Uniform Securities Agent State Law Examination 2000-09-18
  • S65 Uniform Investment Adviser Law Examination
    2003-01-30
  • S63 Uniform Securities Agent State Law Examination
    2000-09-18
Other Names
  • Sabrina Anna Fontana

View on SEC IAPD

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