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Current Employers
Northeast Planning Associates, Inc.

43 Constitution Drive, Bedford, NH 03110 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2019-06-26
  • NH RA
    APPROVED
    Since 2019-06-26

Branch Locations

7 Leavy Drive, Bedford, NH 03110 • United States

43 Constitution Drive, Bedford, NH 03110 • United States

Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2019-06-20
TX RA APPROVED 2019-06-20
  • NH RA
    APPROVED
    Since 2019-06-20
  • TX RA
    APPROVED
    Since 2019-06-20

Branch Locations

425 Hooksett Road, Manchester, NH 03104-2632 • United States

7 Leavy Dr, Bedford, NH 03110 • 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
Sagepoint Financial Bedford NH 06/2015 06/2019
Lpl Financial Llc Bedford NH 06/2019 Present
Northeast Planning Associates, Inc. Bedford NH 06/2019 Present
Previous Registrations
  • 2015-06-08 → 2019-06-24
    Osaic Services, Inc.
    Bedford, NH
  • 2014-07-01 → 2015-06-10
    Questar Asset Management, Inc.
    Minneapolis, MN
    Bedford, NH
  • 2006-01-17 → 2014-07-02
    Manchester, NH
    Bedford, NH
    Bedford, NH
    Manchester, NH
    Hollis, NH
    Bedford, NH
Other Businesses

1) 06/10/2019 - Northeast Planning Associates, Inc. - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 06/2019 - 100 hr/mth 2)06/10/2019 - Non-Variable Insurance - inv rel - at reported business location(s) - start: 06/2019 - 5 hr/mth 3) 06/27/2019 - Northeast Planning Associates, Inc. - IAR - Investment related - At reported business location(s) - Registered Investment Advisor - start date:06/06/2019 - 35 hrs/mo - 2 hrs during trading - 25% time spent - I provide financial planning and consulting services through Northeast Planning Associates, Inc., an independent investment advisor firm.  I started this business activity in 6/2019. I expect to spend approximately 35 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-14
S63 Uniform Securities Agent State Law Examination 1994-05-10
  • S66 Uniform Combined State Law Examination
    2005-12-14
  • S63 Uniform Securities Agent State Law Examination
    1994-05-10

View on SEC IAPD

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