Frank Baggio

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2017-11-29

CT RA
APPROVED

Since 2017-11-29

Branch Locations

Wilton, CT • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
National Planning Corporation	Wilton	CT	03/2006	11/2017
Lpl Financial Llc	Wilton	CT	11/2017	Present

03/2006 → 11/2017

National Planning Corporation

Wilton, CT
11/2017 → Present

Lpl Financial Llc

Wilton, CT

Previous Registrations

2006-04-03 → 2017-11-29

National Planning Corporation

South Windsor, CT

Wilton, CT
2005-06-10 → 2006-04-03

Osaic Fs, Inc.

Wilton, CT

Other Businesses

1. 11/29/2017 - CREATIVE COMPUTER CONCEPTS - Not Investment Related - At Reported Business Location(s) - Mortgage/Real Estate Services - MANAGING MEMBER/SHAREHOLDER. 2. 11/29/2017 - CREATIVE COMPUTER CONCEPTS - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - MANAGING MEMBER/SHAREHOLDER - Start Date 2/3/2006 - 30 Hours Per Month/5 During Securities Trading. 3. 11/29/2017 - CREATIVE COMPUTER CONCEPTS - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - MANAGING MEMBER/SHAREHOLDER - Start Date 2/3/2006 - 30 Hours Per Month/5 During Securities Trading. 4. 11/29/2017 - National Planning Brand Frank Baggio - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 5. 11/29/2017 - CREATIVE COMPUTER CONCEPTS - Not Investment Related - At Reported Business Location(s) - Notary Public - Notary - Start Date 2/3/2006 - 30 Hours Per Month/5 During Securities Trading. 6. 11/29/2017 - CREATIVE COMPUTER CONCEPTS - Not Investment Related - At Reported Business Location(s) - Other - MANAGING MEMBER/SHAREHOLDER/Owner - Start Date 2/3/2006 - 30 Hours Per Month/5 During Securities Trading - PERSONAL & BUSINESS RELATED COMPUTER SERVICES.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-05-05
S63	Uniform Securities Agent State Law Examination	1990-08-03

S65 Uniform Investment Adviser Law Examination

2005-05-05
S63 Uniform Securities Agent State Law Examination

1990-08-03

View on SEC IAPD