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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-05-08 |
| CT | RA | APPROVED | 2021-12-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Insurance Co Of America | Shelton | CT | 03/2005 | 02/2017 |
| Prudential Annuities Distributors | Shelton | CT | 11/2007 | 02/2017 |
| Raymond James Financial Services, Inc. | North Haven | CT | 03/2017 | 12/2020 |
| Liberty Bank | North Haven | CT | 03/2017 | 12/2020 |
| Rogar Pharma | North Branford | CT | 06/2016 | Present |
| Raymond James Financial Services Advisors Inc. | North Haven | CT | 03/2017 | 12/2020 |
| Vantis Life Insurance Co. Of Ct | North Haven | CT | 09/2018 | 10/2019 |
| Lpl Financial Llc | Hamden | CT | 12/2021 | Present |
1) 12/2021 - Squareknot Advisory Partners- DBA for LPL Business (entity for LPL business)- inv. related- Hamden, CT 2) 12/2021- RoGar Pharma- President/Owner- non-inv. Related- North Branford, CT- start date 1/2016- 0hrs
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-07 |
| S63 | Uniform Securities Agent State Law Examination | 2002-03-08 |
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