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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-05-29
VT RA APPROVED 2021-08-20
  • TX RA
    APPROVED
    Since 2026-05-29
  • VT RA
    APPROVED
    Since 2021-08-20

Branch Locations

1233 Shelburne Rd #E3, South Burlington, VT 05403 • 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
Guardian Life Insurance Company Middleton MA 07/2020 07/2021
Concord Wealth Management Waltham MA 02/2020 06/2020
Unemployed Woburn MA 12/2019 02/2020
Echo Global Logistics Woburn MA 06/2014 12/2019
Park Avenue Securities Middleton MA 08/2020 06/2021
Lpl Financial, Llc South Burlington VT 08/2021 Present
  • 07/2020 → 07/2021
    Guardian Life Insurance Company
    Middleton, MA
  • 02/2020 → 06/2020
    Concord Wealth Management
    Waltham, MA
  • 12/2019 → 02/2020
    Unemployed
    Woburn, MA
  • 06/2014 → 12/2019
    Echo Global Logistics
    Woburn, MA
  • 08/2020 → 06/2021
    Park Avenue Securities
    Middleton, MA
  • 08/2021 → Present
    South Burlington, VT
Previous Registrations
Other Businesses

1) 8/2021 - DBA for LPL Business (entity for LPL business) - Flood Financial Services - Investment Related - South Burlington, VT 05403 2) 7/2021 - Non-Variable Insurance - Erin Tress - Investment Related - South Burlington, VT 05403 3) 10/24/2022 - No Business Name - Not Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Custodian - Start Date: 04/03/2022 - 4 Hours Per Month/0 Hours During Securities Trading - Clean the common area of Lakewood Common House on a weekly basis. 4) 11/21/2025 - Volunteer Income Tax Assistance - Tax Prep/Accounting/CPA - Volunteer - South Burlington, VT - Start Date 01/08/2026 - 16 hours per month/ 0 hours during trading 5) 01/20/2026 - Locust Hill Condo Association - Non-Profit Board Member - Board Member - Not Investment Related - Home Based - Start Date 01/01/2026 - 2 hours per month/ 0 hours during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-20
  • S66 Uniform Combined State Law Examination
    2020-11-20
Designations

View on SEC IAPD

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