Henry Erving Cooley

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
NH	RA	APPROVED	2007-07-27

NH RA
APPROVED

Since 2007-07-27

Branch Locations

Madbury, NH • United States

Northeast Planning Associates, Inc.

43 Constitution Drive, Bedford, NH 03110 • United States

Current Registrations

Authority	Category	Status	Date
NH	RA	APPROVED	2004-07-22

NH RA
APPROVED

Since 2004-07-22

Branch Locations

43 Constitution Drive, Bedford, NH 03110 • United States

Madbury, NH • 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
Northeast Planning Associates, Inc.	Madbury	NH	11/2003	Present
Lpl Financial	Madbury	NH	07/2007	Present

11/2003 → Present

Northeast Planning Associates, Inc.

Madbury, NH
07/2007 → Present

Lpl Financial

Madbury, NH

Previous Registrations

2003-11-19 → 2004-09-29

Mutual Service Corporation

Portsmouth, NH

Portsmouth, NH
1996-10-18 → 2003-11-13

Veravest Investment Advisors, Inc.

Madbury, NH

Other Businesses

1- 10/30/2007 - NORTHEAST PLANNING AND ASSOCIATES - DBA ONLY 2. 10/30/2007 - FIRST AMERICAN INSURANCE, FIRST AMERICAN INSURANCE - FIXED INSURANCE AND ANNUTIES (CONFIRMED ONLY FIXED), NON-VARIABLE INSURANCE 3. 11/27/07 - NORTHEAST PLANNING ASSOCIATES, INC./RIA PROVIDES FINANCIAL PLANNING FOR A FIXED AND/OR HOURLY FEE./10% TIME SPENT. 4. 04/16/2024 - No Business Name - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Started: 1/1/2018 - 1 Hrs/Mo During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-04-16
S63	Uniform Securities Agent State Law Examination	1993-06-23

S65 Uniform Investment Adviser Law Examination

1996-04-16
S63 Uniform Securities Agent State Law Examination

1993-06-23

View on SEC IAPD