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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-11-06 |
| MD | RA | APPROVED | 2013-06-26 |
Branch Locations
4340 Redwood Highway Suite B-60, San Rafael, CA 94903 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2017-02-17 |
| VA | RA | APPROVED | 2017-02-01 |
| MD | RA | APPROVED | 2017-01-25 |
Branch Locations
Bethesda, MD • United States
4340 Redwood Highway Suite B-60, San Rafael, CA 94903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Rockville | MD | 06/2013 | Present |
| Global Retirement Partners, Llc | Rockville | MD | 01/2017 | Present |
1. 06/25/2013 - RAFFA FINANCIAL SERVICES, INC./ SALE OF NON-VARIABLE INSURANCE/ 30%/ ROCKVILLE, MD. 2. 7/28/2014: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - RAFFA RETIREMENT SERVICES - 173 HOURS PER MONTH/8 HOURS DURING TRADING - ROCKVILLE, MD. 3. 2/11/2015: OTHER-SEMINAR - SEMINARS AT COLLEGES - STARTED 02/01/2015 - INVESTMENT RELATED - 10 HOURS PER MONTH/0 HOURS DURING TRADING. 4. 6/27/2018 - Global Retirement Partners, LLC - DBA: (HYBRID) Raffa Retirement Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date:01/25/2017 - 80 Hours Per Month/20 Hours During Trading - I provide investment advisory services through Global Retirement Partners, LLC, an independent investment advisor firm. I started this business activity in 6/2018. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 3/7/2019 - James Strother & Associates, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Owner & Sole Member LLC - Start Date: 01/29/2019 - 1 Hour Per Month/1 Hour During Securities Trading. 6) 01/07/2025 - HUB International - Investment Related - Non-Variable Insurance - , Rockville, MD - Start Date:01/01/2022 - 5 Hrs/Mth - 1 Hrs During Trading. 7) 01/03/2025 - HUB International - Investment Related - DBA for LPL Business (entity for LPL business) - Rockville, MD - Start Date:01/01/2022 - 80 Hrs/Mth - 40 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 2001-05-02 |
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