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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-02-23
  • NY RA
    APPROVED
    Since 2024-02-23

Branch Locations

Huntington, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Bank Deer Park NY 09/2011 12/2021
J.P. Morgan Securities Llc Deer Park NY 10/2012 12/2021
Knead Catering, Llc Huntington Station NY 10/2013 Present
Sportfish Republic Inc Huntington NY 06/2020 Present
Wells Fargo Clearing Services, Llc Garden City Park NY 12/2021 02/2024
Lpl Financial Llc Hunington NY 02/2024 Present
Previous Registrations
  • 2021-12-10 → 2024-02-28
    Huntington, NY
    New York, NY
    Lake Ronkonkoma, NY
  • 2012-10-01 → 2021-12-11
    Deer Park, NY
    Melville, NY
    Syosset, NY
    Plainview, NY
    Syosset, NY
    Syosset, NY
  • 2011-12-14 → 2012-10-01
    Chase Investment Services Corp.
    Deer Park, NY
Other Businesses

1- 02/2024 / Sportfish Republic Inc / Business Owner / Not Investment Related / 5 hrs mth / 0 hrs during trading / Start date: 01/01/2021 2- 02/2024 / Knead Catering, LLC / Business Owner / Not Investment Related / 5 hrs mth / 0 hrs during trading / Start date: 01/01/2012 3- 03/21/2024 - Prosperity Private Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 03/13/2024 - 200 Hours Per Month/ 160 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-05-25
S63 Uniform Securities Agent State Law Examination 2005-03-31
  • S66 Uniform Combined State Law Examination
    2010-05-25
  • S63 Uniform Securities Agent State Law Examination
    2005-03-31
Other Names
  • Joseph Charles Toomey

View on SEC IAPD

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