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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2024-03-21
AL RA APPROVED 2024-03-19
TX RA APPROVED 2024-03-14
  • MA RA
    APPROVED
    Since 2024-03-21
  • AL RA
    APPROVED
    Since 2024-03-19
  • TX RA
    APPROVED
    Since 2024-03-14

Branch Locations

11 Herbert P Almgren Dr, Agawam, MA 01001 • United States

Agawam, MA • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fidelity Brokerage Services Llc Framingham MA 10/2015 04/2018
Massmutual Springfield MA 03/2019 02/2020
Mml Investors Services, Llc Springfield MA 03/2019 09/2020
Fidelity Investments Framingham MA 05/2016 03/2018
Unemployed Agawam MA 03/2018 05/2018
Private Capital Group Llc West Hartford CT 05/2018 12/2018
Unemployed Agawam MA 12/2018 03/2019
Mml Investors Services, Llc Stamford CT 03/2021 03/2023
Mass Mutual Life Insurance Company Stamford CT 10/2021 03/2023
Lenox Advisors Stamford CT 03/2021 04/2023
Unemployed Agawam MA 09/2020 03/2021
Cambridge Investment Research, Inc. Fairfield IA 07/2023 03/2024
Cambridge Investment Research Advisors Inc. Fairfield IA 10/2023 03/2024
Lpl Financial Llc Trussville AL 03/2024 Present
Unemployed Agawam MA 04/2023 07/2023
  • 10/2015 → 04/2018
    Fidelity Brokerage Services Llc
    Framingham, MA
  • 03/2019 → 02/2020
    Massmutual
    Springfield, MA
  • 03/2019 → 09/2020
    Mml Investors Services, Llc
    Springfield, MA
  • 05/2016 → 03/2018
    Fidelity Investments
    Framingham, MA
  • 03/2018 → 05/2018
    Unemployed
    Agawam, MA
  • 05/2018 → 12/2018
    Private Capital Group Llc
    West Hartford, CT
  • 12/2018 → 03/2019
    Unemployed
    Agawam, MA
  • 03/2021 → 03/2023
    Mml Investors Services, Llc
    Stamford, CT
  • 10/2021 → 03/2023
    Mass Mutual Life Insurance Company
    Stamford, CT
  • 03/2021 → 04/2023
    Lenox Advisors
    Stamford, CT
  • 09/2020 → 03/2021
    Unemployed
    Agawam, MA
  • 07/2023 → 03/2024
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 10/2023 → 03/2024
    Fairfield, IA
  • 03/2024 → Present
    Trussville, AL
  • 04/2023 → 07/2023
    Unemployed
    Agawam, MA
Previous Registrations
Other Businesses

1- 03/2024 / RCM Capital Management, LLC / DBA for LPL Business (entity for LPL business) / Investment Related / 40 hrs mth / 8 hrs during trading / At reported business location(s) 2- 03/2024 / Fifth Avenue Financial / Non-Variable Insurance / Investment Related / 10 hrs mth / 1 hr during trading / Start date: 01/01/2024

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-10-12
S63 Uniform Securities Agent State Law Examination 2015-12-08
  • S65 Uniform Investment Adviser Law Examination
    2023-10-12
  • S63 Uniform Securities Agent State Law Examination
    2015-12-08
Other Names
  • Eric Robert Wrisley
  • Eric Wrisley

View on SEC IAPD

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