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Current Employers
Capital Analysts

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2015-02-03
  • PA RA
    APPROVED
    Since 2015-02-03

Branch Locations

Lincoln Investment Planning, Inc. Suite 5 90 S Newtown Street Rd, Newtown Square, PA 19073 • United States

Lincoln Investment

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2011-06-16
  • PA RA
    APPROVED
    Since 2011-06-16

Branch Locations

601 Office Center Drive Suite 300, Fort Washington, PA 19034 • United States

90 S. Newtown Street Rd. Suite 5, Newtown Square, PA 19073 • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Lincoln Investment Planning, Inc. Newtown Square PA 09/1994 Present
  • 09/1994 → Present
    Lincoln Investment Planning, Inc.
    Newtown Square, PA
Other Businesses

MIDLAND LIFE POSITION: agent NATURE: life insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/20/2018 ADDRESS: 1 Sammons Plaza, Sioux Falls SD 57193, United States DESCRIPTION: I wrote several insurance policies with Midland before realizing that it wasn't going through Lincoln and that they were paying me directly instead. I stopped writing policies there once I realized that it wasn't able to go through the Lincoln grid.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-04-19
  • S63 Uniform Securities Agent State Law Examination
    1993-04-19

View on SEC IAPD

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