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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2023-02-07
TX RA APPROVED 2023-02-01
  • MA RA
    APPROVED
    Since 2023-02-07
  • TX RA
    APPROVED
    Since 2023-02-01

Branch Locations

9 Monroe St. Unit 2, Northborough, MA 01532 • United States

25 Main St. Suite 5, Wayland, MA 01778 • United States

Disclosures

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.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
National Planning Corporation Brookline MA 03/2006 10/2017
Securities America, Inc. Newton MA 10/2017 Present
Securities America Advisors Newton MA 10/2017 Present
Lpl Financial Llc Northborough MA 02/2022 Present
  • 03/2006 → 10/2017
    National Planning Corporation
    Brookline, MA
  • 10/2017 → Present
    Securities America, Inc.
    Newton, MA
  • 10/2017 → Present
    Securities America Advisors
    Newton, MA
  • 02/2022 → Present
    Northborough, MA
Previous Registrations
  • 2017-10-31 → 2023-02-02
    Securities America Advisors, Inc.
    Newton, MA
  • 2006-04-05 → 2017-11-08
    National Planning Corporation
    South Windsor, CT
    Newton, MA
Other Businesses

1) 01/20/2023 - Longwood FInancial Advisors - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 03/2006 2) 01/20/2023 - 148 Realty LLC - Real Estate Rental - Wayland, MA - Start: 05/2022 3) 01/20/2023 - Two Thousand Realty Associates - LP ( Limited Partner ) - Real Estate Rental - Newton, MA - Start: 04/2021 4) 2/1/2023 - Wayland Dads - Not Investment Related - 100 Draper Rd. Wayland, MA 01778 - For-Profit Board Member - Board Member - Start Date - 01/01/2017 - 4 Hours Per Month/5 Hours During Securities Trading - Time Spent 2% 5) 11/11/2024 - Merit Ins Services - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 02/01/2023 - 1 Hour Per Month/ During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-18
  • S66 Uniform Combined State Law Examination
    2007-12-18
Designations

View on SEC IAPD

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