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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-27 |
| VT | RA | APPROVED | 2023-10-27 |
Branch Locations
162 N Main Street, Suite 200, Barre, VT 05641 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fairfield United Soccer Association | Fairfield | CT | 03/2006 | 03/2017 |
| Morgan Stanley | Fairfield | CT | 08/2015 | 12/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 12/2015 | 03/2017 |
| National Life Group | Montpelier | VT | 03/2017 | 12/2018 |
| Equity Services, Inc. | Montpelier | VT | 03/2017 | 12/2018 |
| Maffe Financial Group | Glastonbury | CT | 01/2019 | 05/2019 |
| Equity Services Inc | Montpelier | VT | 01/2019 | 10/2023 |
| The Vermont Agency | Colchester | VT | 05/2019 | 10/2023 |
| Lpl Financial Llc | Barre | VT | 10/2023 | Present |
1) 10/16/2023 - James Hunt - Non-Variable Insurance - The Vermont Agency - Investment related - 10 Hours per month - Start date: 01/01/2013. 2) 10/16/2023 - Real Estate Rental - Landlord/owner - CT 06516 - Investment related - 2 Hours per month - Start date: 01/01/2013. 3) 10/16/2023 - VSA Referee - Coach/Sports/Fitness - youth soccer referee - VT 05495 - Non investment related - 8 Hours per month - Start date: 04/02/2023. 4) 10/16/2023 - Granite Financial Group - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 90% time spent.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 2008-07-22 |
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