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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2022-06-16 |
Branch Locations
2420 Cranberry Highway, West Wareham, MA 02571 • United States
2995 Cranberry Hwy, Wareham, MA 02538 • United States
833 Ashley Blvd, New Bedford, MA 02745 • United States
135 South Main St., Middleboro, MA 02346 • United States
30 Main St, Middleboro, MA 02346 • United States
124 Main Street, Carver, MA 02330 • United States
75 Hutteleston Ave, Fairhaven, MA 02719 • United States
30 S Main St, Middleborough, MA 02346 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | West Wareham | MA | 05/2014 | Present |
| Rockland Trust Co | Fairhaven | MA | 05/2014 | Present |
1. 05/12/2014: NO BUSINESS NAME - INV REL - 85 PINE ISLAND RD, DARTHOUTH MA 02747 - REAL ESTATE RENTAL - OWNER OF REAL PROPERTY 2. 05/28/2014: ROCKLAND TRUST FINANCIAL SERVICES - INV REL - 75 HUTTLESTON AVE, FAIRHAVEN, MA 02719 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - ROCKLAND TRUST FINANCIAL SERVICES - START 04/28/2014 - 40 HR/MO ALL DURING SECS TRDG HRS 3. 06/06/2014: SBLI OF MA - INV REL - ROCKLAND TRUST, 75 HUTTELSTON AVE, FAIRHAVEN, MA 02719 - NON-VARIABLE INSURANCE - START 06/04/2014 - 10 HRS/MO ALL DURING SECS TRDG HRS - SALES AND SERVICE OF FIXED ANNUITIES AND TERM/WHOLE LIFE INSURANCE THROUGH SBLI OF MA. BANK HAS HAD A LONG STANDING DIRECT RELATIOSHIP. PAID DIRECTLY FROM SBLI TO THE BANK, INCLUDED ON REP COMMISSIONS. 4. 07/01/2014: ROCKLAND TRUST INVESTMENT MANAGEMENT GROUP - INV REL - ROCKLAND TRUST, 75 HUTTLESTON AVE, FAIRHAVEN, MA 02719 - FINANCIAL INSTITUTION DUTY - START 06/04/2014 - 80 HRS/MO 20 DURING SECS TRDG HRS - THE FA WILL MANAGE BOTH LPL FINANCIAL ACCOUNTS AND ACT AS A RELATIONSHIP MANAGER AND/OR BUSINESS DEVELOPMENT OFFICER FOR THE TRUST/WEALTH MANAGEMENT DEPARTMENT OF ROCKLAND TRUST'S WEALTH MANAGEMENT GROUP. 5. 07/03/2014: CAPITAS FINANCIAL - INV REL - ROCKLAND TRUST, 75 HUTTLESTON AVE, FAIRHAVEN, MA - NON-VARIABLE INSURANCE - START 06/04/2014 - 20 HR/MO ALL DURING SECS TRDG HRS - SELLING LIFE INSURANCE AND LTC. 6. 4/10/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 04/16/2018 - 15 Hours Per Month/5 Hours During Securities Trading. 7. 5/3/2019 - RT INVESTMENT SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 5/3/2019. 8. 10/20/2021 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Start Date: 03/23/2003 - 0 Hours Per Month/0 Hours During Securities Trading. 9. 3/8/2023 - BSMG - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 02/02/2023 - 5 Hours Per Month/2 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 2002-06-10 |
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