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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-05-24 |
| ME | RA | APPROVED | 2011-09-01 |
| MA | RA | APPROVED | 2009-02-23 |
Branch Locations
361 Us Rte. 1, Suite 3, Falmouth, ME 04105 • United States
Ksw Federal Cu 222 College Ave., Waterville, ME 04901 • United States
Ksw Federal Cu 135 Waldo Ave., Belfast, ME 04915 • United States
2010 N Belfast Ave, Augusta, ME 04330 • United States
781 Us Route One Ste A, Yarmouth, ME 04096 • United States
43 Constitution Drive, Bedford, NH 03110 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2009-02-26 |
Branch Locations
43 Constitution Drive, Bedford, NH 03110 • United States
781 U.S. Route One, Ste. A, Yarmouth, ME 04096 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Yarmouth | ME | 02/2009 | Present |
| Northeast Planning Associates, Inc. | Yarmouth | ME | 02/2009 | Present |
1) 02/12/2009: NOT BUSINESS NAME - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - INS TYPES: FIXED ANNUITIES, LONG-TERM CARE, GROUP & HEALTH INSURANCE 2) 02/12/2009: NORTHEAST PLANNING ASSOCIATES, INC (NPA) - INV REL - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 3) 08/30/2016: Northeast Planning Associates Inc. - Registered Investment Advisor - DBA: (FP) Northeast Planning Associates Inc. - Investment Related - At Reported Business Location(s) - 5% Time Spent - I provide financial planning and consulting services through Northeast Planning Associates, an independent investment advisor firm. I started this business activity in Feb 2009. I expect to spend approximately 8 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 advisory firm is separate from and independent of LPL Financial. 4) 10/26/2017 - ZARR LTD. Partnership - Investment Related - At Reported Business Location(s) - Other-Family Business - Limited Partner - Start Date 10/02/2017 - 2 Hours Per Month/0 During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 2008-11-03 |
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