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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-01-20 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New Haven | CT | 10/2008 | 01/2026 |
| Lpl Financial Llc | Branford | CT | 01/2026 | Present |
1- 12/2025 / Thimble Island Private Wealth / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 120 hrs during trading / At reported business location(s) 2- 02/03/2026 - Willie and Aikisha Colon Foundation - Non-Profit Board Member - Treasurer - Not Investment Related - Paramus, NJ - Start Date 01/01/2023 - 1 hour per month/ 0 hours during trading 3- 03/11/2026 - TJM Private Wealth LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/13/2026 - 160 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-05-17 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-02 |
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