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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-10-09 |
| MA | RA | APPROVED | 2018-08-21 |
Branch Locations
18 S Main St Ste 104, Topsfield, MA 01983-1800 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Infinex Investments, Inc. | Farmington | CT | 03/2001 | 07/2018 |
| Lpl Financial, Llc | Topsfield | MA | 07/2018 | Present |
1. 3/27/2019 - DMI Marketing Inc - Investment Related - 21 Market Street Suite 210, Ipswich MA 01938 - Non-Variable Insurance - Insurance Broker - Started 04/01/2019 - 2 Hours Per Month During Securities Trading. 2. 05/31/2019 - Gradient Insurance Brokerage - Investment related - At reported business location(s) - Non-Variable Insurance - start date:05/27/2019 - 2 hrs/mo - 0 hrs during trading - Agent for fixed annuity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-07 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-23 |
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