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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-09-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Boston | MA | 11/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Boston | MA | 11/2016 | 09/2021 |
| Carroll Enterprises Inc | Worcester | MA | 09/2021 | 04/2024 |
| Sterlingbridge Insurance Agency | Worchester | MA | 09/2021 | 04/2024 |
| Fellowship Of Christian Athletes Central & Western Ma | Lunenburg | MA | 07/2021 | Present |
| Cetera Advisor Networks Llc | El Segundo | CA | 10/2021 | 04/2024 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | 04/2024 |
| Rockland Trust | Worcester | MA | 05/2024 | Present |
| Lpl Financial Llc | Worcester | MA | 07/2024 | Present |
1 - 07/31/2024 - RT Investment Services - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s) - Start Date 07/15/2024 - 5 Hours Per Month/ During Trading. 2- 09/17/2024 - Highland Capital - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 08/12/2024 - 5 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-24 |
| S65 | Uniform Investment Adviser Law Examination | 2008-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 2005-06-27 |
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