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Current Employers
Integrated Wealth Concepts Llc

200 5Th Avenue 4Th Floor, Waltham, MA 02451 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2016-11-08
  • CT RA
    APPROVED
    Since 2016-11-08

Branch Locations

44 Old Ridgebury Road Suite P-140, Danbury, CT 06810 • 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
Lincoln Financial Advisors Corp Danbury CT 12/2003 10/2016
Lpl Financial Llc Danbury CT 10/2016 Present
Integrated Wealth Concepts Llc Danbury CT 10/2016 Present
  • 12/2003 → 10/2016
    Lincoln Financial Advisors Corp
    Danbury, CT
  • 10/2016 → Present
    Lpl Financial Llc
    Danbury, CT
  • 10/2016 → Present
    Danbury, CT
Previous Registrations
  • 2006-03-31 → 2016-11-08
    Osaic Fa, Inc.
    Brewster, NY
    Glastonbury, CT
    Poughkeepsie, NY
Other Businesses

(1) 10/26/2016: No Business Name - Non-Variable Insurance - Investment Related - 44 Old Ridgebury Road, P140, Danbury, CT 06810 - Start 01/01/2009 - 10 Hr/Mo; 10 Hour(s) During Securities Trading; 2% Time Spent - sale of fixed life, health, disability, accident, and LTC (2) 10/26/2016: Integrated Financial Partners - DBA for LPL Business (entity for LPL business) - Investment Related - 44 Old Ridgebury Road, P140, Danbury, Connecticut 06810 - 40% Time Spent. (3) 11/18/2016: Integrated Wealth Concepts - DBA: (Hybrid) Integrated Financial Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Time Spent 60% - IAR. (4) 11/18/2016: Integrated Wealth Concepts - DBA: (Hybrid) Integrated Wealth Concepts LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Time Spent 60% - IAR - I provide investment advisory services through Integrated Wealth Concepts, an independent investment advisor firm. I started this business activity in October 2016. I expect to spend approximately 60% of my time 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 firm is separate from and independent of LPL Financial. (5) 5/4/2021 - Integrated Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 05/01/2021 - 1 Hour Per Month/1 Hour During Securities Trading. (6) 5/5/2021 - Integrated Wealth Concepts - DBA: (Hybrid) Integrated Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 05/01/2021 - 1 Hour Per Month/1 Hour During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-30
S63 Uniform Securities Agent State Law Examination 1994-06-28
  • S65 Uniform Investment Adviser Law Examination
    2006-03-30
  • S63 Uniform Securities Agent State Law Examination
    1994-06-28
Designations

View on SEC IAPD

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