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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2024-05-16 |
| TX | RA | APPROVED | 2024-05-16 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
5 Northern Blvd Unit 10, Amherst, NH 03031 • United States
5 Northern Boulevard Unit 10, Amherst, NH 03031 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lincoln Financial Securities Corporation | Amherst | NH | 07/2008 | 05/2024 |
| Lpl Financial | Amherst | NH | 05/2024 | Present |
1) 04/2024 - Caputo Financial Group LLC / DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) 4 Hrs per month - 5% Time Spent 2) 04/2024 - Caputo Financial Group, LLC / Non-Variable Insurance / Inv. Related / Amherst, NH / Start date 04/26/2018 - 2 Hrs per month - 1 % Time Spent 3) 04/2024 - Dominic M Caputo / Co-Owner / Real Estate Rental / NH 03031-2330 / Start date 06/23/2016 - 1 Hrs per month - 1% Time Spent
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-04-24 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-06 |
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