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David J Guardia

LPl Financial LLC

Newington, CT

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2012-03-30
  • CT RA
    APPROVED
    Since 2012-03-30

Branch Locations

100 Market Square, Unit 16, Newington, CT 06111 • 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
Lpl Financial Newington CT 03/2012 Present
  • 03/2012 → Present
    Lpl Financial
    Newington, CT
Previous Registrations
Other Businesses

1. 03/30/12 - REAL ESTATE RENTAL/ 5% OF TIME/ WEST HARTFORD, CT.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-26
S63 Uniform Securities Agent State Law Examination 2002-04-05
  • S66 Uniform Combined State Law Examination
    2007-01-26
  • S63 Uniform Securities Agent State Law Examination
    2002-04-05
Other Names
  • David J Guardia

View on SEC IAPD

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LPL FINANCIAL LLC · NEWINGTON, CT
LPL FINANCIAL LLC · NEWINGTON, CT
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