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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-04-24
CT RA APPROVED 2022-08-17
  • TX RA
    APPROVED_RES
    Since 2025-04-24
  • CT RA
    APPROVED
    Since 2022-08-17

Branch Locations

716 Broad Street Ext., Waterford, CT 06385 • United States

624 West Main Street, Norwich, CT 06360 • United States

105 Elm Street, Old Saybrook, CT 06475 • United States

12 Roosevelt Avenue, Mystic, CT 06355 • United States

654 Long Hill Road, Groton, CT 06340 • United States

45 Town Street, Norwich, CT 06360 • United States

124 Boston Post Rd, Waterford, CT 06385 • United States

Ivoryton, CT • 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
People'S Securities, Inc Bridgeport CT 07/2010 Present
People's United Advisors, Inc Bridgeport CT 05/2018 Present
Lpl Financial Llc Branford CT 08/2022 Present
Lpl Financial Llc Branford CT 08/2022 Present
  • 07/2010 → Present
    People'S Securities, Inc
    Bridgeport, CT
  • 05/2018 → Present
    People's United Advisors, Inc
    Bridgeport, CT
  • 08/2022 → Present
    Branford, CT
  • 08/2022 → Present
    Branford, CT
Previous Registrations
  • 2018-05-21 → 2022-08-17
    People'S United Advisors, Inc.
    Branford, CT
  • 2010-08-06 → 2020-03-31
    People'S Securities, Inc.
    Branford, CT
    New Haven, CT
    New Haven, CT
    Branford, CT
    Madison, CT
    Madison, CT
    Clinton, CT
    Old Saybrook, CT
    East Haven, CT
    Norwich, CT
    Mystic, CT
    Uncasville, CT
    Niantic, CT
    Willimantic, CT
    Storrs, CT
    Putnam, CT
    Dayville, CT
    Pawcatuck, CT
    Groton, CT
    Waterford, CT
    Waterford, CT
    Bridgeport, CT
  • 2008-05-27 → 2010-07-21
    St Louis, MO
    Ivoryton, CT
  • 2005-09-19 → 2008-03-26
    Mystic, CT
    New London, CT
Other Businesses

1. 08/18/2022 - Wilmington Advisors @ M&T - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Financial Advisor - Start Date: 08/18/2022 - 200 Hours Per Month/150 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-16
  • S66 Uniform Combined State Law Examination
    2005-09-16

View on SEC IAPD

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