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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2021-07-22 |
Branch Locations
319 Littleton Rd, Suite 303, Westford, MA 01886 • United States
Waltham, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Woburn | MA | 10/1990 | 07/2021 |
| Various Insurance Carriers For W & R Insurance Agencies | Waltham | MA | 12/1990 | 07/2021 |
| Lpl Financial Llc | Woburn | MA | 07/2021 | Present |
1) 05/11/2023 - Concord River Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/04/2023 - 250 Hours Per Month/197 Hours During Securities Trading 2) 06/02/2023 - Modern Life - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Start Date 05/16/2023 - 30 Hours Per Month/ 30 Hours During Securities Trading 3) 11/08/2024- Associates of Clifton Park - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 10/03/2024 - 2 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-01-03 |
| S63 | Uniform Securities Agent State Law Examination | 1990-11-16 |
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