William Theodore Brice

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2023-08-21
CT	RA	APPROVED	2023-02-13

SC RA
APPROVED

Since 2023-08-21
CT RA
APPROVED

Since 2023-02-13

Branch Locations

South Windsor, CT • United States

360 Kingsley Park Drive Suite 100, Fort Mill, SC 29715 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
National Planning Corporation	Farmington	CT	03/2006	10/2017
Securities America, Inc.	Glastonbury	CT	10/2017	02/2023
Securities America Advisors	Glastonbury	CT	10/2017	02/2023
Lpl Financial Llc	Fort Mill	SC	02/2023	Present

03/2006 → 10/2017

National Planning Corporation

Farmington, CT
10/2017 → 02/2023

Securities America, Inc.

Glastonbury, CT
10/2017 → 02/2023

Securities America Advisors

Glastonbury, CT
02/2023 → Present

Lpl Financial Llc

Fort Mill, SC

Previous Registrations

2017-10-31 → 2023-02-09

Securities America Advisors, Inc.

Keene, NH

Glastonbury, CT
2006-04-03 → 2017-11-07

National Planning Corporation

Ludlow, VT

East Longmeadow, MA

Los Angeles, CA

South Windsor, CT

Keene, NH
2003-03-10 → 2006-04-03

Osaic Fs, Inc.

Farmington, CT
2000-01-06 → 2003-03-31

Polaris Advisory Services Inc

Farmington, CT

Other Businesses

1) 01/27/2023 - PROEAST ASSET MANAGEMENT, LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 01/27/2023 - GREY ROCK PROPERTIES, LLC - Real Estate Rental - Co - owner - 337 Old Cheney Road, Jamaica, VT 05343 - Investment related - start date: 12/10/1997. 3) 01/27/2023 - FINRA - FINRA Arbitrator - 200 Liberty Street, New York, NY - Investment related - Start date: 1/1/2009. 4) 01/27/2023 - Professional Investors Network, LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 5) 01/27/2023 - RED ROCK PROPERTIES, LLC - Real Estate Rental - owner - 225 Oakland Road, Unit 101, South Windsor, CT 06074, 225 - Investment related - Start date: 12/10/2007.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-03-02
S63	Uniform Securities Agent State Law Examination	1993-07-13

S65 Uniform Investment Adviser Law Examination

1999-03-02
S63 Uniform Securities Agent State Law Examination

1993-07-13

Other Names

Bill Brice

View on SEC IAPD