Kristopher William Horn

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2021-03-16

MA RA
APPROVED

Since 2021-03-16

Branch Locations

435 Market Street, Brighton, MA 02135 • United States

1290 Main St, Waltham, MA 02451 • United States

229 North Harvard Street, Allston, MA 02134 • United States

1450 Highland Ave, Needham, MA 02492 • United States

435 Market Street, Brighton, MA 02135 • United States

1192 Boylston St, Chestnut Hill, MA 02467 • United States

40 Austin St, Newtonville, MA 02460 • United States

75 Moody St, Waltham, MA 02453 • United States

1134 Wasjomgtpm St., Boston, MA 02118 • United States

70 Concord Ave, Belmont, MA 02452 • United States

1441 Beacon St, Brookline, MA 02446 • United States

160A Apex Dr, Marlborough, MA 01752 • 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

Organization	City	State	From	To
Rockland Trust Company	Boston	MA	04/2014	Present
Lpl Financial Llc	Boston	MA	03/2019	Present

04/2014 → Present

Rockland Trust Company

Boston, MA
03/2019 → Present

Lpl Financial Llc

Boston, MA

Other Businesses

1)03/25/2019 - Rockland Trust Financial Services - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) 2)03/25/2019 - Notary - inv rel - state of MA - at reported business location(s) 3. 06/13/2019 - RT Investment Services - Investment Related: Yes - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/10/2019 - 160 Hours Per Month/8 Hours During Securities Trading. 4. 06/27/2019 - Bank Trust Wealth Management department - Investment related - At reported business location(s) - Financial Institution Duty - Start date:06/10/2019 - 80 hrs/mo - 4 hrs during trading. 5. 3/8/2023 - BSMG - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 02/02/2023 - 5 Hours Per Month/1 Hours During Securities Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-02-26
S63	Uniform Securities Agent State Law Examination	2019-06-03

S65 Uniform Investment Adviser Law Examination

2021-02-26
S63 Uniform Securities Agent State Law Examination

2019-06-03

Other Names

Kristopher William Horn
Kristopher Horn

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