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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-05-06 |
| TX | RA | APPROVED | 2021-05-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital Financial Planning | Wallingford | CT | 03/2011 | Present |
| Cfp Associates | Wallingford | CT | 12/2010 | Present |
| Voya Financial Advisors | Wallingford | CT | 09/2014 | 05/2021 |
| Lpl Financial Llc | Wallingford | CT | 05/2021 | Present |
1) NORTHEAST WEALTH SOLUTIONS, LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- Wallingford, CT- start dated 9/10/2015 2) David Ross- Non-Variable Insurance- Agent selling Life, Long Term Care, Fixed Annuity- Inv. Related- Wallingford, CT- start date 2010-5% 3) CFP Associates, LLC- Business Entity For Tax/Investment Purposes Only- Inv. Related- Wallingford, CT- start date 12/1/2010- 4) 09/10/2021 - PGP Investment Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/01/2021 - 3 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 2007-08-10 |
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