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7 West Square Lake Road, Bloomfield Hills, MI 48302 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2018-11-08 |
| LA | RA | APPROVED | 2013-10-23 |
| CT | RA | APPROVED | 2013-09-20 |
Branch Locations
7 West Square Lake Road, Bloomfield Hills, MI 48302 • United States
333 Church Street 3Rd Floor, Naugatuck, CT 06770 • United States
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2013-11-29 |
Branch Locations
333 Church St 3Rd Floor, Naugatuck, CT 06770 • United States
One Exchange Place, 6Th Floor 21 West Main Street, Waterbury, CT 06702 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Iic (Institutional Investment Consulting) | Waterbury | CT | 08/2013 | Present |
| Lpl Financial Llc | Waterbury | CT | 11/2013 | Present |
1. 11/22/2013 - Suppose Benefits Consulting, LLC - INV REL - Business Entity For Tax/Investment Purposes Only - NOT TIME SPENT - Legal Entity for Tax Purposes Only 2. 11/22/2013 - LIFE PLANS OF NEW ENGLAND - INV REL - SALE OF NON-VARIABLE INSURANCE/ 10% TIME SPENT - WATERBURY, CT 3. 7/10/2018 - Institutional Investment Consulting (IIC) - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Start Date:09/01/2013 - 16 Hours Per Month/16 Hours During Trading - Time Spent: 10% - I provide consulting services through Institutional Investment Consulting (IIC), an independent investment advisor firm. I started this business activity in 09/2013. I expect to spend approximately 16 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 4. 09/19/2019 - Institutional Investment Consulting (IIC) - Investment related - At reported business location(s) - Registered Investment Advisor - start date:09/13/2019 - 160 hrs/mo - 6 hrs during trading - IAR - I provide financial planning and consulting services through Institutional Investment Consulting, an independent investment advisor firm. I started this business activity in 09/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2005-01-31 |
| S65 | Uniform Investment Adviser Law Examination | 2003-12-17 |
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