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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2019-09-17 |
Branch Locations
200 Charlton Road, Ste B, Sturbridge, MA 01566 • United States
Sturbridge, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nuveen Asset Management | Chicago | IL | 06/2014 | 03/2017 |
| Nuveen Investments | Chicago | IL | 06/2014 | 03/2017 |
| Dynamic Wealth Advisors | Phoenix | AZ | 09/2018 | 04/2019 |
| Advisor Acquisitions | Sturbridge | MA | 03/2017 | 09/2018 |
| Advisor Acquisitions | Sturbridge | MA | 04/2019 | 07/2019 |
| Cornerstone Bank (Ssb Investments) | Sturbridge Ma | MA | 07/2019 | Present |
| Lpl Financial Llc | Sturbridge | MA | 08/2019 | Present |
1. 1/13/2020 - Capstone Planning Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/01/2020 - 160 Hours Per Month/8 Hours During Securities Trading. 2. 1/21/2020 - Capstone EDGE - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/13/2020 - 4 Hours Per Month/1 Hour During Securities Trading. 3. 11/18/2024 - Pouch Drops - Rep's Business - Owner - Not Investment Related - Home Based - Start Date 11/12/2024 - 5 HOurs per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-10-16 |
| S65 | Uniform Investment Adviser Law Examination | 2008-01-22 |
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