William Richard Mahoney

Current Employers

Employment History

• 11/2014 → 04/2017
  Tiaa
  Providence, RI
• 11/2014 → 03/2017
  Tiaa-Cref Individual & Institutional Services, Llc
  Providence, RI
• 04/2017 → Present
  Lpl Financial, Llc
  Franklin, MA
• 04/2017 → Present
  Rockland Trust Company
  Franklin, MA

Previous Registrations

• 2014-12-15 → 2017-03-23
  Tiaa-Cref Individual & Institutional Services, Llc
  Providence, RI
• 2009-11-13 → 2014-11-18
  Lpl Financial Llc
  Rockland, MA
  Bellingham, MA
  N Attleboro, MA
  Franklin, MA
  Milford, MA
  Franklin, MA
• 2005-08-03 → 2005-10-18
  Strategicpoint Investment Advisors Llc
  Providence, RI
• 2000-01-21 → 2004-11-15
  Ameriprise Financial Services, Llc
  East Providence, RI

Other Businesses

1) 05/09/2017 - Rockland Trust Financial Services - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) 2) 05/09/2017 - Rockland Trust - Financial Institution Duty - inv rel - at reported business location(s) 3) 05/09/2017 - Capitas Financial LLC - Non-Variable Insurance - selling: Universal Life - inv rel - at reported business location(s). 4) 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. 5) 05/03/2019 - RT INVESTMENT SERVICES - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business). 6) 08/31/2023 - Rockland Trust Investment Management Group - Financial Institution Duty - Senior Vice President - Investment Related - At Reported Business Location(s) - Start Date 06/01/2023 - 160 Hours Per Month/ 140 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-09-15
• S63 Uniform Securities Agent State Law Examination
  2009-06-19

Other Names

• William Richard Mahoney
• Bill Mahoney
• William Richard Mahoney