George Richard Buck

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2019-06-24
TX	RA	APPROVED_RES	2019-05-09
CT	RA	APPROVED	2018-07-25

PA RA
APPROVED

Since 2019-06-24
TX RA
APPROVED_RES

Since 2019-05-09
CT RA
APPROVED

Since 2018-07-25

Branch Locations

New Canaan, CT • United States

263 Tresser Blvd. First Floor, Stamford, CT 06901 • 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 Yes
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
Hb Capital Partners	New Canaan	CT	12/2016	06/2018
Unemployed	New Canaan	CT	03/2015	11/2016
Lpl Financial Llc	Stamford	CT	06/2018	Present

12/2016 → 06/2018

Hb Capital Partners

New Canaan, CT
03/2015 → 11/2016

Unemployed

New Canaan, CT
06/2018 → Present

Lpl Financial Llc

Stamford, CT

Other Businesses

1)6/25/18- American Strategic Advisors- DBA for LPL Business (entity for LPL business)- Inv.Related- Stamford, CT- 100% 2). 03/25/2019 - No business name - Investment related - At reported business location(s) - Consulting - start date:01/02/2019 - 1 hr/mo - 1 hr during trading. 3) 5/7/2019 - Tri County Area Federal Credit Union - DBA: Tri County Area Investment & Retirement Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/01/2019 - 5 Hours Per Month/5 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-07-24
S63	Uniform Securities Agent State Law Examination	2012-08-09

S66 Uniform Combined State Law Examination

2018-07-24
S63 Uniform Securities Agent State Law Examination

2012-08-09

Other Names

George R Buck
George Buck

View on SEC IAPD