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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2026-02-17 |
Branch Locations
475 Kilvert Street Suite 135, Warwick, RI 02886 • United States
Providence, RI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Enterprise Llc | Warwick | RI | 01/2026 | Present |
| Truchoice Federal Credit Union | Portland | ME | 05/2023 | 01/2026 |
| Maine College Of Art & Design Academic Studies | Portland | ME | 09/2024 | 05/2025 |
| Maine College Of Art & Design Office Of Financial Aid | Portland | ME | 02/2023 | 12/2023 |
| Bromley Market | Peru | VT | 12/2022 | 01/2024 |
| Hannaford Bros. Co., Llc | Portland | ME | 07/2022 | 05/2023 |
| Unemployed | Portland | ME | 03/2022 | 06/2022 |
| Sun Lodge: The Lodge At Bromley | Peru | VT | 12/2021 | 01/2022 |
| Lazarri | Portland | ME | 09/2021 | 02/2022 |
| Wise Oak Inc. | Londonderry | VT | 06/2021 | 09/2021 |
| Londonderry Village Market | Londonderry | VT | 08/2017 | 08/2021 |
| Unemployed | Londonderry | VT | 01/2016 | 07/2017 |
1. 01/14/2026 - Jaden Kyung-Moon Bauch - Artist/ Musician - Not investment related - Portland ME - OBA start date: 08/23/2021 - 50 Hrs/Mth - 00 Hrs During Trading 2. 01/14/2026 - Jaden Kyung-Moon Bauch - Speaker/ Seminar/ Workshops - Not investment related - Portland ME - OBA start date: 08/26/2024 - 50 Hrs/Mth - 00 Hrs During Trading 3. 01/14/2026 - JADEN Kyung-moon BAUCH N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - investment related - Portland ME - OBA start date: 01/14/2026 - 160 Hrs/Mth - 160 Hrs During Trading 4. 01/14/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - investment related - Portland ME - OBA start date: 01/14/2026 - 160 Hrs/Mth - 160 Hrs During Trading 5. 03/23/2026-The Financial Palette-Financial Planner-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 03/20/2026-80hrs/mth-20hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2026-02-13 |
| S65 | Uniform Investment Adviser Law Examination | 2024-07-08 |
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