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Thomas Patrick Kelly

LPl Enterprise, LLC

Tolland, CT

Tolland, CT

Shelton, CT

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-11-14
  • CT RA
    APPROVED
    Since 2024-11-14

Branch Locations

36 Buff Cap Road Suite 3, Tolland, CT 06084 • United States

36 Buff Cap Road Suite 3, Tolland, CT 06084 • United States

1 Corporate Drive Suite 205, Shelton, CT 06484 • 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
Pruco Securities, Llc. South Windsor CT 04/2008 11/2024
Prudential Insurance Company Of America South Windsor CT 04/2008 Present
Lpl Enterprise, Llc Glastonbury CT 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-11-13
S63 Uniform Securities Agent State Law Examination 2008-05-20
  • S65 Uniform Investment Adviser Law Examination
    2009-11-13
  • S63 Uniform Securities Agent State Law Examination
    2008-05-20
Other Names
  • Thomas Kelly

View on SEC IAPD

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