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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2024-10-15
  • MA RA
    APPROVED
    Since 2024-10-15

Branch Locations

1001 Millbury St, Worcester, MA 01607 • United States

13 Canterbury Rd, Brooklyn, CT 06234 • United States

4 Gore Rd, Webster, MA 01570 • United States

148 Rte 171, Woodstock, CT 06281 • United States

9 Sack Blvd, Leominster, MA 01453 • United States

90 Exchange St, Athol, MA 01331 • United States

31 Sutton Ave, Oxford, MA 01540 • United States

182 Main St, Putnam, CT 06260 • United States

270 Grove St, Worcester, MA 01605 • United States

131 Main St Unit 1, Lancaster, MA 01523 • United States

569 Southbridge St, Auburn, MA 01501 • United States

3 Central St, Danielson, CT 06239 • United States

331 Main St, Sturbridge, MA 01566 • United States

835 Riverside Dr N, Grosvenordale, CT 06255 • United States

109 Elm Street, Millbury, MA 01527 • 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
Brinker Capital Berwyn PA 06/2015 09/2017
Newport Group, Inc. Walnut Creek CA 09/2017 11/2018
Newport Group Securities, Inc Lake Mary FL 09/2017 11/2018
Newport Group Consulting, Llc Lake Mary FL 09/2017 11/2018
Adp Broker Dealer Inc. North Grafton MA 11/2018 05/2020
Adp Llc North Grafton MA 11/2018 05/2020
Principal Life Insurance Company Waltham MA 05/2020 06/2022
Principal Securities Inc Waltham MA 06/2020 06/2022
Edward Jones St. Louis MO 06/2022 10/2024
Lpl Financial Millbury MA 10/2024 Present
  • 06/2015 → 09/2017
    Brinker Capital
    Berwyn, PA
  • 09/2017 → 11/2018
    Newport Group, Inc.
    Walnut Creek, CA
  • 09/2017 → 11/2018
    Newport Group Securities, Inc
    Lake Mary, FL
  • 09/2017 → 11/2018
    Lake Mary, FL
  • 11/2018 → 05/2020
    Adp Broker Dealer Inc.
    North Grafton, MA
  • 11/2018 → 05/2020
    Adp Llc
    North Grafton, MA
  • 05/2020 → 06/2022
    Principal Life Insurance Company
    Waltham, MA
  • 06/2020 → 06/2022
    Waltham, MA
  • 06/2022 → 10/2024
    St. Louis, MO
  • 10/2024 → Present
    Lpl Financial
    Millbury, MA
Previous Registrations
Other Businesses

1) 10/2024 - Hometown Wealth Management / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-07-22
S63 Uniform Securities Agent State Law Examination 2007-09-20
  • S65 Uniform Investment Adviser Law Examination
    2015-07-22
  • S63 Uniform Securities Agent State Law Examination
    2007-09-20
Other Names
  • Francis M Randall
  • Frank Miles Randall
  • Francis Miles Randall

View on SEC IAPD

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