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David Robert Brochu

LPl Financial LLC

Farmington, CT

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-04-11
CT RA APPROVED 2015-07-22
  • TX RA
    APPROVED_RES
    Since 2022-04-11
  • CT RA
    APPROVED
    Since 2015-07-22

Branch Locations

6 Executive Dr., Ste 103, Farmington, CT 06032 • 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
Rgb Financial / Lpl Farmington CT 02/2015 Present
  • 02/2015 → Present
    Rgb Financial / Lpl
    Farmington, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-21
  • S66 Uniform Combined State Law Examination
    2015-07-21

View on SEC IAPD

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