Best Investors Account Sign in
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-08-17
  • CT RA
    APPROVED
    Since 2022-08-17

Branch Locations

850 Main Street, Bridgeport, CT 06604 • United States

209 Franklin Avenue, Hartford, CT 06114 • United States

669 Hebron Avenue, Glastonbury, CT 06033 • United States

902 Main Street, South Glastonbury, CT 06073 • United States

40 Welles St, Glastonbury, CT 06033 • United States

957 Main Street, East Hartford, CT 06108 • United States

Stratford, CT • 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
People'S United Bank Hamden CT 08/2011 Present
People'S Securities, Inc. Hamden CT 06/2013 Present
People'S United Advisors Hamden CT 07/2021 Present
Lpl Financial Llc Hamden CT 08/2022 Present
  • 08/2011 → Present
    People'S United Bank
    Hamden, CT
  • 06/2013 → Present
    People'S Securities, Inc.
    Hamden, CT
  • 07/2021 → Present
    People'S United Advisors
    Hamden, CT
  • 08/2022 → Present
    Hamden, CT
Previous Registrations
  • 2021-08-10 → 2022-08-17
    People'S United Advisors, Inc.
    Wilmington, DE
    Hamden, CT
  • 2009-04-20 → 2009-06-26
    Cetera Investment Services Llc
    Hartford, CT
Other Businesses

1. 08/18/2022 - No Business Name - Investment Related - Milford, CT 06460 - Real Estate Rental - Owner - Start Date - 05/21/2021 - 4 Hours Per Month/1 Hours During Securities Trading - Time Spent 2% 2. 08/18/2022 - People's United A Division of M&T bank - Investment Related - At Reported Business Location(s) - Notary - Notary - Start Date - 08/01/2011 - 0 Hours Per Month/0 Hours During Securities Trading - Time Spent 1% - Public Notary 3. 08/18/2022 - M&T Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - VP, Branch Manager - Start Date - 08/16/2022 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 500% 4. 1/27/2023 - No Business Name - Investment Related - Montville, CT 06370 - Real Estate Rental - Owner - Start Date - 10.2022 - 4 Hours Per Month 5. 01/08/2024 - Wilmington Advisors @M&T - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s)-

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-09-12
S65 Uniform Investment Adviser Law Examination 2009-04-07
  • S63 Uniform Securities Agent State Law Examination
    2013-09-12
  • S65 Uniform Investment Adviser Law Examination
    2009-04-07
Other Names
  • Robert Levar Duffas

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Bridgeport, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor