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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-12-16 |
| CT | RA | APPROVED | 2018-05-15 |
Branch Locations
123 Bank Street 1St Floor, Waterbury, CT 06702 • United States
450 Barnum Avenue, Stratford, CT 06614 • United States
3546 Main St., Bridgeport, CT 06606 • United States
2 Daniels Farm Road, Trumbull, CT 06606 • United States
7 Halls Rd, Old Lyme, CT 06371 • United States
One Jericho Plaza, Jericho, NY 11753 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Ridgefield | CT | 08/2015 | 08/2017 |
| Self Employed, Musician | Middlebury | CT | 09/1995 | Present |
| Citigroup | Mt Kisco | CT | 08/2017 | 05/2018 |
| Lpl Financial Llc | Ridgefield | CT | 05/2018 | Present |
| Webster Bank | Ridgefield | CT | 05/2018 | Present |
1. 5/15/2018 - No Business Name - Not Investment Related - Home Based - Other-Musician - Drummer - Started 09/01/1995 - 6 Hours Per Month During Securities Trading - Time Spent 5%. 2. 6/7/2018 - Webster Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/14/2018 - 40 Hours Per Month/8 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-02-13 |
| S63 | Uniform Securities Agent State Law Examination | 2007-11-02 |
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