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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2018-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Woburn | MA | 04/2015 | Present |
| Flagship Harbor Advisors, Llc | Woburn | MA | 09/2016 | Present |
1. 04/27/2015 - NO BUSINESS NAME - INV REL - 176 CRESCENT STREET, STOW, MA - NON-VARIABLE INSURANCE - START 12/01/2013 - 5 HOURS PER MONTH, 5% TIME SPENT, 1 DURING TRADING - DISABILITY, FIXED ANNUITIES, HEALTH, LIFE, LONG TERM CARE 2. 04/27/2015: KENNETH ANDING INSURANCE SALES - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - 10% OF TIME SPENT - INS TYPES: LIFE, DISABILITY, LTC, HEALTH, FIXED ANNUITY 3. 04/27/2015: NO BUSINESS NAME - INV REL - HOME BASED - NON-VARIABLE INSURANCE - START 12/01/2013 - 5 HR/MO 1 DURING SECS TRDG HRS (5% OF TIME SPENT) - INS TYPES: DISABILITY, FIXED ANNUITIES, HEALTH, LIFE, LONG TERM CARE 4. 4/27/2015 - Flagship Harbor Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 5. 8/13/2015 - Flagship Harbor Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - 14 Hours Per Month. 6. 4/12/2016: Merrimack Valley Estate Planning Council - Not Investment Related - One Elm Square, Andover, MA 01810 - Non-Profit Board Member - Started 04/01/2016 - 3 Hours Per Month/1 Hour During Securities Trading. 7. 4/15/2017 - No Business Name - Investment Related - Chatham, MA - Real Estate Rental - Start 06/20/17 - 20 Hours Per Month/0 Hours During Securities Trading - Summer home. 8. 06/28/2024 - Goldfinch Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/20/2024 - 40 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-06 |
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