Donald Morrell Hartley

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
RI	RA	APPROVED	2019-09-10

RI RA
APPROVED

Since 2019-09-10

Branch Locations

10 Washington Sq, Newport, RI 02840 • United States

2628 East Main Road, Portsmouth, RI 02871 • United States

1000 Division Street, East Greenwich, RI 02818 • 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

Organization	City	State	From	To
Edward Jones	St Louis	MO	07/2016	09/2019
Lpl Financial Llc	Portsmouth	RI	09/2019	Present
Bank Newport	Portsbmouth	RI	09/2019	Present

07/2016 → 09/2019

Edward Jones

St Louis, MO
09/2019 → Present

Lpl Financial Llc

Portsmouth, RI
09/2019 → Present

Bank Newport

Portsbmouth, RI

Previous Registrations

2017-01-24 → 2019-09-07

Edward Jones

Portsmouth, RI

St Louis, MO

New Bedford, MA
1995-02-14 → 2009-11-05

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Falmouth, MA

Hyannis, MA

Hyannis, MA

Hyannis, MA

Other Businesses

1)9/9/19- OCEANPOINT INVESTMENT SOLUTIONS- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)- 100% 2)9/9/19- Disability Income from the VA - Non-Inv. Related- Brockton, MA- start date 2/10/15- 1%

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-09-12
S65	Uniform Investment Adviser Law Examination	1995-01-31
S63	Uniform Securities Agent State Law Examination	1994-03-04

S66 Uniform Combined State Law Examination

2016-09-12
S65 Uniform Investment Adviser Law Examination

1995-01-31
S63 Uniform Securities Agent State Law Examination

1994-03-04

Other Names

Donald M Hartley

View on SEC IAPD