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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-08-05
TX RA APPROVED_RES 2022-08-04
  • CT RA
    APPROVED
    Since 2022-08-05
  • TX RA
    APPROVED_RES
    Since 2022-08-04

Branch Locations

180 Glastonbury Blvd, Glastonbury, CT 06033 • United States

West Hartford, CT • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Voya Financial Partners Windsor CT 09/2014 07/2022
Voya Financial Windsor CT 09/2014 07/2022
Voya Financial Advisors Windsor CT 09/2014 07/2022
Lpl Financial Glastonbury CT 08/2022 Present
  • 09/2014 → 07/2022
    Voya Financial Partners
    Windsor, CT
  • 09/2014 → 07/2022
    Voya Financial
    Windsor, CT
  • 09/2014 → 07/2022
    Voya Financial Advisors
    Windsor, CT
  • 08/2022 → Present
    Lpl Financial
    Glastonbury, CT
Previous Registrations
  • 2010-12-20 → 2022-08-04
    Windsor, CT
    Windsor, CT
    Windsor, CT
    Braintree, MA
  • 2007-06-28 → 2010-12-31
    Voya Financial Partners, Llc
    Windsor, CT
    Windsor, CT
  • 2006-08-02 → 2007-06-21
    Msi Financial Services, Inc.
    Springfield, MA
    Springfield, MA
    Westboro, MA
  • 2005-07-29 → 2005-12-31
    Metlife Investment Fund Services Llc
    Needham, MA
Other Businesses

1-08/2022 / MAY, BONEE & CLARK FINANCIAL SERVICES / DBA for LPL Business (entity for LPL business) / Investment Related / GLASTONBURY CT 06033 2-08/2022 / TODD ROSEN, SOLE PROPRIETOR / Non-Variable Insurance / Investment Related / GLASTONBURY CT 06033 3- 04/29/2024 - Risk Strategies Corporation - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 03/01/2024 - 2 Hours Per Month/ During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-07-26
S63 Uniform Securities Agent State Law Examination 2005-06-04
  • S65 Uniform Investment Adviser Law Examination
    2005-07-26
  • S63 Uniform Securities Agent State Law Examination
    2005-06-04
Other Names
  • Todd A Rosen

View on SEC IAPD

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