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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2025-07-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Victor Moffitt & Co | Coventry | RI | 01/1973 | Present |
| Next Financial Group Inc | Houston | TX | 11/2007 | 07/2025 |
| Lpl Financial Llc | Coventry | RI | 07/2025 | Present |
1) 07/10/2025-Moffitt & Associates, LLC-Investment Professional-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 06/16/2025-160hrs/mth-160hrs/mth during trading 2) 07/10/2025-Victor Moffitt & Co., Inc-Tax Preparer-Tax Prep/Accounting/CPA-Inv related-At Coventry, RI-Start date 06/16/2025-2hrs/mth-0hrs/mth during trading 3) 07/10/2025-Notary-Inv related-At Coventry, RI-Start date 06/16/2025-1hrs/mth-0hrs/mth during trading 4) 07/10/2025-King Victor Productions-Author-Not inv related-At Coventry, RI-Start date 06/16/2025-2hrs/mth-0hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 2002-03-21 |
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