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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-10 |
Branch Locations
500 North Broadway Suites 260 & 242, Jericho, NY 11753 • United States
112-41 Queens Blvd Suite 201, Forest Hills, NY 11375 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc | Omaha | NE | 01/2001 | 10/2021 |
| Raymond N Bergen | Forest Hills | NY | 02/2001 | 07/2025 |
| Securities America Advisors, Inc. | Forest Hills | NY | 01/2019 | 10/2021 |
| Cadaret Grant & Co., Inc. | Jericho | NY | 11/2021 | 07/2025 |
| Lpl Financial Llc | Forest Hills | NY | 07/2025 | Present |
1. 05/14/2025- American Investment Planners- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 05/01/2021- 160 Hours Per Month- 160 Hours During Trading 2. 05/16/2025- Metro Tax Group- Tax Prep/Accounting/CPA- INV Related- At Reported Business Location(s)- Start date 01/01/2002- 70 Hours Per Month- 20 Hours During Trading 3) 07/31/2025 - RAYMOND BERGEN - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:01/01/2020 - 1 Hrs/Mth - 1 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-05-07 |
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