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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2025-12-22 |
| NJ | RA | APPROVED | 2024-11-14 |
Branch Locations
30 Technology Drive South Suite 1-Q, Warren, NJ 07059 • United States
Chesterfield, NH • United States
191 Washington Street, Keene, NH 03431 • United States
100 Mulberry Street Prudential Gateway 2, Floor 11, Newark, NJ 07102 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc. | Newark | NJ | 02/2001 | 11/2024 |
| New Providence Financial | Newark | NJ | 03/2006 | 11/2024 |
| Chartered Financial Services | Newark | NJ | 12/2015 | 11/2024 |
| Lpl Enterprise, Llc | Basking Ridge | NJ | 11/2024 | Present |
1) 09/16/2024 - Chartered Financial Services, LLC - Sales and Service of Insurance, Financial Planning and Investments - DBA for LPL Business (entity for LPL business) - Inv Related - At Basking Ridge, NJ - Start Date 12/22/2015 - 80hrs/mth - 80hrs/mth During Trading 2) 09/16/2024 - New Providence Financial, LLC - Financial and Insurance Services - DBA for LPL Business (entity for LPL business) - Inv Related - At Basking Ridge, NJ - Start Date 03/01/2005 - 120hrs/mth - 120hrs/mth During Trading 3) 09/16/2024 - DBA - Chartered Financial Services, LLC - Insurance Financial Services - DBA for LPL Business (entity for LPL business) - Inv Related - At Basking Ridge, NJ - Start Date 12/22/2015 - 1hrs/mth - 1hrs/mth During Trading 4) 09/16/2024 - Chartered Financial Services LLC DBA Website URL: www.CFS-NJ.com - DBA website - DBA for LPL Business (entity for LPL business) - Inv Related - At Basking Ridge, NJ - Start Date 08/31/2018 - 1hrs/mth - 1hrs/mth During Trading 5) 09/16/2024 - www.newprovidencefinancial.com - Passive involvement. This is the URL of the prior DBA which directs it to the new DBA URL cfs-nj.com - DBA for LPL Business (entity for LPL business) - Inv Related - At Basking Ridge, NJ - Start Date 12/22/2015 - 0hrs/mth - 1hrs/mth During Trading 6) 10/01/2025-Chartered Financial Services-Member-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 09/29/2025-160hrs/mth-160hrs/mth during trading 7) 10/06/2025-CFS Keene, LLC-Managing Member-Business Entity For Tax/Investment Purposes Only-Inv related-At Gillette, NJ-Start date 09/29/2025-6hrs/mth-0hrs/mth during trading 8) 01/05/2026-CFS Keene, LLC-Managing Member-Real Estate Rental-Inv Related-At Keene, NH-Start date 11/17/2025-5hrs/mth-5hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-29 |
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