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Current Employers
Gateway Wealth Partners, Llc

100 W. Lawrence Street Suite 304, Appleton, WI 54911 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-04-05
  • CT RA
    APPROVED
    Since 2023-04-05

Branch Locations

100 W. Lawrence Street Suite 304, Appleton, WI 54911 • United States

455 Winding Brook Drive, Glastonbury, CT 06033 • 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
OrganizationCityStateFromTo
National Planning Corporation Santa Monica CA 05/2013 11/2017
Lpl Financial Llc Glastonbury CT 11/2017 Present
Gateway Wealth Partners, Llc Glastonbury CT 03/2023 Present
  • 05/2013 → 11/2017
    National Planning Corporation
    Santa Monica, CA
  • 11/2017 → Present
    Lpl Financial Llc
    Glastonbury, CT
  • 03/2023 → Present
    Glastonbury, CT
Previous Registrations
  • 2013-05-10 → 2017-11-29
    National Planning Corporation
    Glastonbury, CT
    Manchester, CT
  • 2010-04-14 → 2013-05-13
    Next Financial Group, Inc.
    Lebanon, CT
    Avon, CT
  • 2007-09-05 → 2010-04-20
    East Hartford, CT
    Glastonbury, CT
Other Businesses

1. 11/01/2017 - Gateway Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Independent Advisor - Start 2013 - Time Spent 100% 2. 05/26/2023 - Gateway Wealth Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 04/03/2023 - 30 Hours Per Month/ 30 Hours During Securities Trading - I provide investment advisory services through Gateway Wealth Partners, an independent investment advisor firm. I started this business activity in 04/2023. I expect to spend approximately 30 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-04
  • S66 Uniform Combined State Law Examination
    2007-09-04

View on SEC IAPD

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