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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-07-09 |
Branch Locations
1 Corporate Drive Suite 205, Shelton, CT 06484 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Wilton | CT | 06/2019 | 04/2021 |
| Wells Fargo Bank, Na | Wilton | CT | 02/2016 | 03/2022 |
| Kestra Investment Services, Llc | Westport | CT | 03/2022 | 04/2022 |
| Interlock Financial | Westport | CT | 03/2022 | 04/2022 |
| Wells Fargo Clearing Services, Llc | Wilton | CT | 07/2021 | 10/2021 |
| Wells Fargo Clearing Services, Llc | Wilton | CT | 05/2018 | 10/2018 |
| Kings Highway Partners | Darien | CT | 06/2021 | 06/2021 |
| Jp Morgan Chase Bank. N.A. | Greenwich | CT | 05/2022 | 08/2022 |
| Jp Morgan Securities, Llc | Greenwich | CT | 05/2022 | 08/2022 |
| Wells Fargo Clearing Services, Llc | Greenwich | CT | 09/2022 | 02/2025 |
| Wells Fargo Bank, Na | Greenwich | CT | 02/2016 | 02/2025 |
| Lpl Enterprise Llc | Shelton | CT | 12/2025 | 01/2026 |
| Unemployed | Norwalk | CT | 02/2025 | 11/2025 |
| Unemployed | Norwalk | CT | 02/2026 | 06/2026 |
| Lpl Enterprise Llc | Shelton | CT | 07/2026 | Present |
1. 7/01/2026 - CATHERINE ANDERSEN N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Investment Related - Norwalk CT - Start Date: 06/26/2026 - 160 Hour(s)/Month - 160 Hour(s) During Trading 2. 7/01/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - Norwalk CT - Start Date: 06/26/2026 - 160 Hour(s)/Month - 160 Hour(s) During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-23 |
| S63 | Uniform Securities Agent State Law Examination | 2019-05-13 |
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