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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-10-21
NY RA APPROVED 2021-10-13
NJ RA APPROVED 2019-02-22
TX RA APPROVED_RES 2019-02-22
  • FL RA
    APPROVED
    Since 2021-10-21
  • NY RA
    APPROVED
    Since 2021-10-13
  • NJ RA
    APPROVED
    Since 2019-02-22
  • TX RA
    APPROVED_RES
    Since 2019-02-22

Branch Locations

1967 State Route 34 Bldg C, Suite 101, Wall Township, NJ 07719 • United States

Naples, FL • United States

1895 Walt Whitman Road,Ste 4, Melville, NY 11747 • United States

Disclosures

1 disclosure category 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Red Bank NJ 03/1994 02/2019
Lpl Financial Llc Naples FL 02/2019 Present
  • 03/1994 → 02/2019
    Ameriprise Financial Services, Inc.
    Red Bank, NJ
  • 02/2019 → Present
    Naples, FL
Previous Registrations
Other Businesses

1)01/04/2019 - Intellectual Capital Group - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 01/2011 - 160 hr/mth 2)01/14/2019 - Saverino & Assoc. CPA - Other - Referral - inv rel - Wall Township, NJ - start: 05/2017 - 1 hr/mth 3)01/07/2019 - Real Estate Rental - inv rel - Loop Brick, NJ - start: 01/2015 - 1 hr/mth 4)01/07/2019 - Real Estate Rental - inv rel - Asbury Park, NJ - start: 06/2016 - 1 hr/mth. 5) 4/3/2020 - ICG next - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/01/2020 - 160 Hours Per Month/130 Hours During Securities Trading. 6) 12/23/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 01/01/2021 - 5 Hours Per Month/1 Hour During Securities Trading. 7) 12/29/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/23/2020 - 5 Hours Per Month/1 Hour During Securities Trading. 8) 09/09/2021 - ICG next - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 09/01/2021 - 1 Hour Per Month/1 Hour During Securities Trading. 9) 10/5/2021 - Intellectual Insurance Services - Investment Related - At Reported Business Location(s) - Insurance Agency - Owner / Partner - Started 09/01/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Duties are limited to collaboration and organizational strategy. 10) 05/30/2023 - Unum - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 05/04/2023 - 2 Hours Per Month/ 0 Hours During Securities Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-05-13
  • S63 Uniform Securities Agent State Law Examination
    1994-05-13
Designations

View on SEC IAPD

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