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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-07-26 |
| TX | RA | APPROVED_RES | 2024-07-26 |
Branch Locations
116 Washington Ave. 2Nd Fl, North Haven, CT 06473 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Services Llc | St Cloud | MN | 05/2021 | 07/2024 |
| Penskee Automotive Group | Fairfield | CT | 09/2011 | 04/2021 |
| Cetera Investment Advisers Llc | North Haven | CT | 01/2022 | 07/2024 |
| Lpl Financial Llc | North Haven | CT | 07/2024 | Present |
1) 05/29/2024 - Tetrad Estate Holdings - Real Estate Rental - MA 02601 - Investment related - 3 Hours per month - Start date: 07/01/2021. 2) 05/29/2024 - Soundway Financial - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 3) 10/31/2024 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 08/13/2024 - 15 Hours Per Month/ 3 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-01-20 |
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