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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-16 |
| MA | RA | APPROVED | 2019-01-03 |
| RI | RA | APPROVED | 2017-09-21 |
Branch Locations
200 Lowder Brook Dr Ste 2100, Westwood, MA 02090 • United States
Norwell, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Equity Services, Inc. | Newton | MA | 07/2007 | 09/2016 |
| Lpl Financial, Llc | Waltham | MA | 09/2016 | Present |
| The Patriot Financial Group | Warwick | RI | 09/2016 | 06/2018 |
1) 09/07/2016: BOSTON DRIVE, INC. - Not Investment Related - 7 Barnes Road, Hingham, MA 04023 - Other-Ride Sharing Business - Start 12/01/2014 - 10 Hours Per Month/0 Hours During Securities Trading - 5% Time Spent - Owner. 2) 09/07/2016: No Business Name - Investment Related - 39 Thomas Park Apt 1, Boston, MA 02127-2979 - Real Estate Rental - Start 09/01/2013 - 1 Hour Per Month/0 Hours During Securities Trading - 1% Time Spent - Owner. 3) 11/9/2016: Castle Hill Retirement Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/12/2016 - 160 Hours Per Month During Securities Trading. 4) 12/29/2016: Spriano & Co. - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 12/13/2016 - 5 Hours Per Month During Securities Trading - Business entity for tax purposes. 5) 10/11/2017: Castle Hill Retirement Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/21/2017 - 10 Hours Per Month During Securities Trading. 6) 6/9/2020 - Bay Financial Associates, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 06/04/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 7) 6/11/2021 - 401(k) Advisory Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/15/2020 - 160 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 2005-12-17 |
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