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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2019-11-27
NH RA APPROVED 2014-02-03
  • MA RA
    APPROVED
    Since 2019-11-27
  • NH RA
    APPROVED
    Since 2014-02-03

Branch Locations

43 Constitution Dr., Bedford, NH 03110 • United States

40 Crescent St, Waltham, MA 02453 • United States

Northeast Planning Associates, Inc.

43 Constitution Drive, Bedford, NH 03110 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2014-02-04
  • NH RA
    APPROVED
    Since 2014-02-04

Branch Locations

43 Constitution Drive, Bedford, NH 03110 • 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
Northeast Planning Associates, Inc. Bedford NH 11/2013 Present
Lpl Financial Llc Bedford NH 01/2014 Present
Previous Registrations
Other Businesses

1. 2/3/2014 - Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 2/28/2014 - Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR for RIA. 3. 2/14/2018 - OneEleven Oils, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 01/22/2018 - 4 Hours Per Month/0 Hours During Securities Trading. 4. 2/3/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/26/2021 - 5 Hours Per Month/1 Hours During Securities Trading - Various agencies. 5. 01/04/2023 - No Business Name - Investment Related - Northwood, NH 03261 - Real Estate Rental - Start Date: 01/15/2023 - 5 Hours Per Month/0 Hours During Securities Trading. 6. 08/27/2024 - Evergreen Strategic Partners - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/27/2024 - 160 Hours per Month/ 40 Hours During Trading 7. 11/13/2024 - Real Estate Rental - Investment Related - Concord, NH - Start Date 11/20/2024 - 5 Hours Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-07-20
S63 Uniform Securities Agent State Law Examination 2008-08-29
  • S65 Uniform Investment Adviser Law Examination
    2009-07-20
  • S63 Uniform Securities Agent State Law Examination
    2008-08-29
Designations

View on SEC IAPD

Other Firms

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