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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-11-15
MD RA APPROVED 1996-09-23
  • TX RA
    APPROVED
    Since 2016-11-15
  • MD RA
    APPROVED
    Since 1996-09-23

Branch Locations

7230 Lee Deforest Dr Ste 203, Columbia, MD 21046-3249 • 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
OrganizationCityStateFromTo
Lpl Financial Llc Baltimore MD 09/1996 Present
Previous Registrations
  • 1996-10-10 → 2003-09-08
    Fusco Financial Associates Inc.
    Towson, MD
Other Businesses

1. 3/25/2003 - NO BUSINESS NAME - TEACHER/INSTRUCTOR - NOT INV REL - AT REPORTED BUSINESS LOCATION - SEMINARS. 2. 4/21/2003 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - SELLING DISABILITY AND HEALTH INSURANCE. 3. 12/9/2011: DAY FINANCIAL GROUP, INC - NON-VARIABLE INSURANCE DBA - INV REL - AT REPORTED BUSINESS LOCATION - SELLING FIXED ANNUITIES, LONG TERM CARE AND LIFE INSURANCE. 4. 12/20/2012: DAY PROPERTIES LLC - Business Entity For Tax/Investment Purposes Only - INV REL - AT REPORTED BUSINESS LOCATION - Day Properties LLC was established when I bought the office condo space - even though the LLC files a tax return the income and expenses are zero. It is just a pass through entity - 0% TIME SPENT. 5. 5/15/2017 - DAY Financial Group, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 3/25/2003.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-07-05
S65 Uniform Investment Adviser Law Examination 1994-03-23
  • S63 Uniform Securities Agent State Law Examination
    1994-07-05
  • S65 Uniform Investment Adviser Law Examination
    1994-03-23
Other Names
  • John E Day

View on SEC IAPD

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