Timothy Michael Grogan

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2023-04-05

MA RA
APPROVED

Since 2023-04-05

Branch Locations

400 Tradecenter Dr, Ste 5900, Woburn, MA 01801 • 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

Organization	City	State	From	To
Tom Grogan	Peabody	MA	05/2007	01/2020
Royal Alliance Associates Inc	Peabody	MA	05/2007	03/2023
New England Schooner, Inc.	Peabody	MA	04/2017	03/2023
Lpl Financial Llc	Woburn	MA	03/2023	Present

05/2007 → 01/2020

Tom Grogan

Peabody, MA
05/2007 → 03/2023

Royal Alliance Associates Inc

Peabody, MA
04/2017 → 03/2023

New England Schooner, Inc.

Peabody, MA
03/2023 → Present

Lpl Financial Llc

Woburn, MA

Previous Registrations

2017-05-10 → 2023-04-03

New England Schooner, Inc.

Peabody, MA

Other Businesses

1. 03/07/2024 - No Business Name - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started: 8/14/2016 - 2 Hrs/mo During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-04-12
S63	Uniform Securities Agent State Law Examination	2015-04-03

S65 Uniform Investment Adviser Law Examination

2017-04-12
S63 Uniform Securities Agent State Law Examination

2015-04-03

View on SEC IAPD