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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-08-21 |
| CT | RA | APPROVED | 2019-06-14 |
Branch Locations
110 Washington Ave 3Rd Floor, North Haven, CT 06473 • 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 |
|---|---|---|---|---|
| Foresters Financial Services | North Haven | CT | 06/2001 | 06/2019 |
| Foresters Advisory Services Llc | New Haven | CT | 03/2017 | 06/2019 |
| Icb | North Haven | CT | 04/2019 | 06/2019 |
| Lpl Financial Llc | North Haven | CT | 06/2019 | Present |
1) 6/14/19- Notary Public - Inv. Related- East Haven, CT -start date 4/2007- 1% 2) 07/08/2019 - Broker's Service Marketing Group - Investment related - At reported business location(s) - Non-Variable Insurance - start date:07/01/2019 - 10 hrs/mo - 2 hrs during trading. 3) 12/12/2023 - exclusive insurance brokerage - Non-Variable Insurance - Insurance Agent - Investment Related - At Reported Business Location(s) - Start Date 11/29/2023 - 5 Hours Per Month/ 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-22 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-13 |
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