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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-07-25 |
| NJ | RA | APPROVED | 2022-03-14 |
Branch Locations
1200 Morris Tpke Ste 3005, Short Hills, NJ 07078 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 07/2018 | 05/2019 |
| Columbus Hill Capital Management | Short Hills | NJ | 03/2018 | 04/2018 |
| Meru Capital Group | New York | NY | 11/2009 | 12/2017 |
| Bofa Securities, Inc. | New York | NY | 05/2019 | 10/2021 |
| Lpl Financial Llc | Saddle River | NJ | 11/2021 | Present |
| Lpl Financial, Llc | Upper Saddle River | NJ | 03/2022 | Present |
| Randy Neumann & Associates, Inc. | Upper Saddle River | NJ | 03/2022 | Present |
1. 11/2021- Randy Neumann Wealth Management- DBA for LPL Business (entity for LPL business)- inv. related- Saddle River, NJ 2. 04/12/2022 - Randy Neumann Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date - 11/15/2021 - 160 Hours Per Month/ 160 Hours During Securities Trading - I provide financial planning and consulting services through Randy Newmann Wealth Management, an independent investment advisor firm. I started this business activity in 11/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 3. 09/23/2022 - Randy Neumann Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date - 11/15/2021 - 160 Hours Per Month/ 160 Hours During Securities Trading 4. 01/25/2024 - Trust Financial Services - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 09/18/2023 - 1 Hour Per Month/ During Trading 5. 02/29/2024 - Spark Wealth Management Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/03/2022 - 200 Hours Per Month/ 8 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 2018-11-21 |
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