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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-05-08
  • CT RA
    APPROVED
    Since 2025-05-08

Branch Locations

1077 Bridgeport Ave Ste 301, Shelton, CT 06484 • United States

Disclosures

2 disclosure categories 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 No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Prudential Insurance Company Of America Shelton CT 11/2011 11/2019
Prudential Annuities Distributors, Inc. Shelton CT 11/2011 11/2019
Brookstone Capital Management Wheaton IL 12/2019 12/2020
Primerica Financial Services Mahwah NJ 10/2021 11/2022
Pfs Investments Inc. Mahwah NJ 10/2021 11/2022
J.D. Mellberg Financial Corp Tucson AZ 11/2019 01/2021
Nationwide Equities Corp Mahwah NJ 01/2021 11/2022
Pacific Life Insurance Newport Beach CA 01/2023 03/2025
Pacific Select Distributors, Llc Newport Beach CA 01/2023 03/2025
Lpl Financial Shelton CT 04/2025 Present
  • 11/2011 → 11/2019
    The Prudential Insurance Company Of America
    Shelton, CT
  • 11/2011 → 11/2019
    Prudential Annuities Distributors, Inc.
    Shelton, CT
  • 12/2019 → 12/2020
    Brookstone Capital Management
    Wheaton, IL
  • 10/2021 → 11/2022
    Primerica Financial Services
    Mahwah, NJ
  • 10/2021 → 11/2022
    Mahwah, NJ
  • 11/2019 → 01/2021
    J.D. Mellberg Financial Corp
    Tucson, AZ
  • 01/2021 → 11/2022
    Nationwide Equities Corp
    Mahwah, NJ
  • 01/2023 → 03/2025
    Pacific Life Insurance
    Newport Beach, CA
  • 01/2023 → 03/2025
    Pacific Select Distributors, Llc
    Newport Beach, CA
  • 04/2025 → Present
    Lpl Financial
    Shelton, CT
Previous Registrations
Other Businesses

1- 02/2025 / All Seasons Advisors / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-07
S63 Uniform Securities Agent State Law Examination 2006-10-31
  • S65 Uniform Investment Adviser Law Examination
    2009-12-07
  • S63 Uniform Securities Agent State Law Examination
    2006-10-31

View on SEC IAPD

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