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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2025-01-22 |
| TX | RA | APPROVED_RES | 2023-04-13 |
| NH | RA | APPROVED | 2023-03-08 |
| VT | RA | APPROVED | 2023-01-13 |
Branch Locations
77 Pine St, Burlington, VT 05401 • United States
350 Fore St, Portland, ME 04101 • United States
New York, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Independent Consultant | New York | NY | 12/2015 | Present |
| Gwn Securities, Inc. | Palm Beach Gardens | FL | 02/2018 | 09/2020 |
| People'S United Advisors, Inc | Burlington | VT | 09/2020 | Present |
| People'S Securities, Inc. | Burlington | VT | 09/2020 | Present |
| Lpl Financial Llc | Burlington | VT | 01/2023 | Present |
| M&T Bank | Burlington | VT | 01/2023 | Present |
1) 01/12/2023 - Uber - Driver - Outside/W-2 Employment - Non Investment related - 30 Hours per month - Start date: 01/17/2023. 2) 2/9/2023 - Wilmington Advisor @M&T - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 01/09/2023 - 40 Hours Per Month/40 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-02-26 |
| S65 | Uniform Investment Adviser Law Examination | 2008-01-04 |
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