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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2025-05-05
FL RA APPROVED 2022-02-07
NY RA APPROVED 2021-08-03
PA RA APPROVED 2018-07-27
  • NC RA
    APPROVED
    Since 2025-05-05
  • FL RA
    APPROVED
    Since 2022-02-07
  • NY RA
    APPROVED
    Since 2021-08-03
  • PA RA
    APPROVED
    Since 2018-07-27

Branch Locations

204 Cynthia Ct, Harbinger, NC 27941 • United States

Bonita Springs, FL • United States

Harbinger, NC • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Hunter Financial Advisors Tarrytown NY 03/2006 07/2018
First Allied Securities, Inc. San Diego CA 12/2014 07/2018
First Allied Advisory Services, Inc. Chesterfield MO 12/2014 07/2018
Lpl Financial Llc Goshen NY 07/2018 Present
  • 03/2006 → 07/2018
    Hunter Financial Advisors
    Tarrytown, NY
  • 12/2014 → 07/2018
    First Allied Securities, Inc.
    San Diego, CA
  • 12/2014 → 07/2018
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 07/2018 → Present
    Goshen, NY
Previous Registrations
  • 2014-12-01 → 2018-07-30
    First Allied Advisory Services, Inc.
    Goshen, NY
  • 2009-09-16 → 2014-12-02
    National Planning Corporation
    Tarrytown, NY
    Tarrytown, NY
    Goshen, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-12-01
  • S63 Uniform Securities Agent State Law Examination
    1992-12-01
Designations

View on SEC IAPD

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