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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2024-11-14 |
Branch Locations
475 Kilvert Street Suite 135, Warwick, RI 02886 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lincoln | RI | 10/2009 | 09/2020 |
| Bank Of America, N.A. | Lincoln | RI | 10/2006 | 09/2020 |
| Pruco Securities Llc | Warwick | RI | 04/2024 | 11/2024 |
| Keller Williams Coastal | Warwick | RI | 09/2020 | Present |
| The Prudential Insurance Company Of America | Warwick | RI | 07/2024 | Present |
| Lpl Enterprise, Llc | Warwick | RI | 11/2024 | Present |
1) 08/28/2024 - Keller Williams Coastal - Help individuals buy, sell, or invest in real estate. Give advice during negotiations. Refer specialized needs to specialists. Assist with filling out mandated forms - Mortgage/Real Estate Services - Inv Related - At WARWICK, RI - Start Date 09/01/2020 - 40hrs/mth - 10hrs/mth During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-06-24 |
| S65 | Uniform Investment Adviser Law Examination | 2015-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 2008-01-11 |
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