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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-02-01
CT RA APPROVED 2023-02-17
  • TX RA
    APPROVED_RES
    Since 2024-02-01
  • CT RA
    APPROVED
    Since 2023-02-17

Branch Locations

475 Talcottville Road, Vernon, CT 06066 • United States

680 Park St, Hartford, CT 06106 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citizens Securities, Inc Deep River CT 05/2016 05/2017
Apw Capital, Inc. (Broker Dealer) Rockaway NJ 05/2017 04/2018
Aurora Private Wealth, Inc. (Ria) Rockaway NJ 05/2017 04/2018
Key Investment Services Llc Manchester CT 04/2018 03/2019
Pruco Securities, Llc South Windsor CT 06/2019 10/2020
The Prudential Insurance Company Of America South Windsor CT 06/2019 10/2020
Unemployed South Windsor CT 03/2019 06/2019
Lincoln Heritage Life Insurance Company Hartford CT 10/2020 10/2021
Lpl Financial, Llc Madison CT 01/2023 Present
Unemployed South Windsor CT 10/2021 01/2023
Financial Resources Group Investment Services Fort Mill SC 01/2023 01/2023
Webster Investments Madison CT 01/2023 Present
  • 05/2016 → 05/2017
    Deep River, CT
  • 05/2017 → 04/2018
    Apw Capital, Inc. (Broker Dealer)
    Rockaway, NJ
  • 05/2017 → 04/2018
    Aurora Private Wealth, Inc. (Ria)
    Rockaway, NJ
  • 04/2018 → 03/2019
    Manchester, CT
  • 06/2019 → 10/2020
    South Windsor, CT
  • 06/2019 → 10/2020
    The Prudential Insurance Company Of America
    South Windsor, CT
  • 03/2019 → 06/2019
    Unemployed
    South Windsor, CT
  • 10/2020 → 10/2021
    Lincoln Heritage Life Insurance Company
    Hartford, CT
  • 01/2023 → Present
    Madison, CT
  • 10/2021 → 01/2023
    Unemployed
    South Windsor, CT
  • 01/2023 → 01/2023
    Financial Resources Group Investment Services
    Fort Mill, SC
  • 01/2023 → Present
    Webster Investments
    Madison, CT
Previous Registrations
  • 2019-06-21 → 2020-10-07
    Glastonbury, CT
  • 2018-04-24 → 2019-04-26
    Hebron, CT
    Willimantic, CT
    Manchester, CT
    S Windsor, CT
  • 2017-05-30 → 2018-04-17
    Windsor, CT
    Totowa, NJ
    Rocky Hill, CT
  • 2016-05-24 → 2017-05-26
    Niantic, CT
    East Lyme, CT
    Woodbridge, CT
    Orange, CT
    Deep River, CT
    Old Lyme, CT
    New London, CT
    New London, CT
    Waterford, CT
    East Hampton, CT
    Middletown, CT
    Middletown, CT
  • 2011-10-11 → 2016-06-03
    Avon, CT
    Bloomfield, CT
    Windsor, CT
    Simsbury, CT
    Simsbury, CT
    Hartford, CT
    Hartford, CT
    West Hartford, CT
  • 2007-02-13 → 2011-10-11
    Uvest Financial Services Group, Inc.
    Windsor, CT
    Avon, CT
    Hartford, CT
    Hartford, CT
    Hartford, CT
    Hartford, CT
    Simsbury, CT
    Farmington, CT
    Simsbury, CT
  • 2007-12-21 → 2010-05-07
    Fort Mill, SC
    Hartford, CT
    San Diego, CA
  • 2003-10-30 → 2007-02-13
    Webster Investment Services, Inc.
    Avon, CT
    Hartford, CT
    Hartford, CT
    Hartford, CT
    Hartford, CT
    Simsbury, CT
    Kensington, CT
    Hartford, CT
  • 2001-08-09 → 2003-11-04
    Morgan Stanley Dw Inc.
    Hartford, CT
Other Businesses

1) 01/18/2023 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Investment related - At reported business location(s). 2) 01/18/2023 - Oliver Consulting Group, LLC - Business Entity For Tax/Investment Purposes Only - Owner - Windsor, CT 06074 - Noninvestment related - Start date: 07/05/2017. 3) 10/30/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Investment Related - At Reported Business Location(s) - Start Date 11/13/2025 - 160 hours per month/ during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-21
S63 Uniform Securities Agent State Law Examination 2000-06-16
  • S65 Uniform Investment Adviser Law Examination
    2000-07-21
  • S63 Uniform Securities Agent State Law Examination
    2000-06-16
Other Names
  • Josh W Oliver
  • Josh Williams Oliver

View on SEC IAPD

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