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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
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 |
|---|---|---|---|---|
| Waddell & Reed, Inc | Norwalk | CT | 07/2015 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Stamford | CT | 07/2015 | 07/2021 |
| Mass Mutual | Stamford | CT | 07/2015 | Present |
| Mass Mutual | Center Valley | PA | 06/2012 | Present |
| Andre Aflalo And Pamela Mercanti-Aflalo | Stamford | CT | 08/2016 | 08/2020 |
| Andre Aflalo, Llc | Westport | CT | 11/2017 | Present |
| Connecticut Institute For Refugees And Immigrants | Bridgeport | CT | 07/2019 | Present |
| 13 Elmood Rd. Special Taxing District | Westport | CT | 07/2020 | Present |
| Lpl Financial, Llc | Norwalk | CT | 07/2021 | Present |
1. 07/21/2021 - Andre Aflalo, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - SOLE OWNER - Started 11/2017 - Time Spent 1%. 2. 07/21/2021 - Crump, AOCP - Investment Related - At Reported Business Location(s) - Non-Variable Insurance. 3. 07/21/2021 - Mass Mutual - Investment Related - 3701 Corporate Parkway, Suite 320, Center Valley , PA, , 18034 - Non-Variable Insurance. 4. 1/14/2022 - East Avenue Capital - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/01/2022 - 160 Hours Per Month/8 Hours During Securities Trading. 5. 3/15/2023 - EAST AVENUE HOLDINGS COMPANY, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 02/28/2023 - 5 Hours Per Month/5 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 2002-10-29 |
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