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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2025-07-10
  • MA RA
    APPROVED
    Since 2025-07-10

Branch Locations

1150 Penfield Road, Rochester, NY 14625 • United States

Waltham, MA • 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
Mass Mutual Life Insurance Company Boston MA 06/2014 08/2023
Mml Investors Services Boston MA 06/2014 08/2023
Cadaret, Grant & Co., Inc. Waltham MA 08/2023 07/2025
Lpl Financial Llc Waltham MA 07/2025 Present
  • 06/2014 → 08/2023
    Mass Mutual Life Insurance Company
    Boston, MA
  • 06/2014 → 08/2023
    Mml Investors Services
    Boston, MA
  • 08/2023 → 07/2025
    Cadaret, Grant & Co., Inc.
    Waltham, MA
  • 07/2025 → Present
    Waltham, MA
Previous Registrations
Other Businesses

1 - 07/2025 - Insurance Sales - Non-Variable Insurance - Inv Related - 65 Hours/Month - 30 Hours During Trading - Waltham, MA - OBA Start Date: 06/30/2021. 2 - 07/2025 - Prentice Wealth Management, LLC - DBA for LPL Business (entity for LPL business) - Inv Related - 80 Hours/Month - 60 Hours During Trading - At reported business location(s). 3 - 07/2025 - DWTL LLC - Real Estate Rental - Inv Related - 5 Hours/Month - Greenville, SC - OBA Start Date: 03/17/2021.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-09-21
S63 Uniform Securities Agent State Law Examination 2001-08-31
  • S66 Uniform Combined State Law Examination
    2010-09-21
  • S63 Uniform Securities Agent State Law Examination
    2001-08-31
Designations

View on SEC IAPD

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