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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-10-24 |
| CT | RA | APPROVED | 2022-08-17 |
Branch Locations
401 Monroe Turnpike, Monroe, CT 06468 • United States
6 Queen Street, Newtown, CT 06470 • United States
100 Main Street North, Southbury, CT 06488 • United States
435 Main St, Monroe, CT 06468 • United States
Shelton, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| People'S Securities, Inc. | Bridgeport | CT | 12/2000 | Present |
| People's United Advisors, Inc. | Bridgeport | CT | 05/2018 | Present |
| Lpl Financial Llc | Newtown | CT | 08/2022 | Present |
| Lpl Financial Llc | Newtown | CT | 08/2022 | Present |
1. 08/18/2022 - Wilmington Advisors @ M&T - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Financial Advisor - Start Date - 08/18/2022 - 160 Hours Per Month/150 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-17 |
| S63 | Uniform Securities Agent State Law Examination | 1993-03-10 |
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