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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2021-07-21
TX RA APPROVED_RES 2021-07-21
  • CT RA
    APPROVED
    Since 2021-07-21
  • TX RA
    APPROVED_RES
    Since 2021-07-21

Branch Locations

83 East Ave Suite 111, Norwalk, CT 06851 • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 07/2015 → 07/2021
    Waddell & Reed, Inc
    Norwalk, CT
  • 07/2015 → 07/2021
    Various Insurance Carriers For W&R Insurance Agencies
    Stamford, CT
  • 07/2015 → Present
    Mass Mutual
    Stamford, CT
  • 06/2012 → Present
    Mass Mutual
    Center Valley, PA
  • 08/2016 → 08/2020
    Andre Aflalo And Pamela Mercanti-Aflalo
    Stamford, CT
  • 11/2017 → Present
    Andre Aflalo, Llc
    Westport, CT
  • 07/2019 → Present
    Connecticut Institute For Refugees And Immigrants
    Bridgeport, CT
  • 07/2020 → Present
    13 Elmood Rd. Special Taxing District
    Westport, CT
  • 07/2021 → Present
    Norwalk, CT
Previous Registrations
  • 2015-09-30 → 2021-07-21
    Waddell & Reed
    Stamford, CT
    Hamden, CT
    Westport, CT
    Stamford, CT
    Norwalk, CT
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-09-29
S63 Uniform Securities Agent State Law Examination 2002-10-29
  • S65 Uniform Investment Adviser Law Examination
    2015-09-29
  • S63 Uniform Securities Agent State Law Examination
    2002-10-29

View on SEC IAPD

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