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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-10-12 |
| MA | RA | APPROVED | 2022-08-23 |
Branch Locations
One Salem Green, Salem, MA 01970 • United States
8 Walkers Brook Dr, Reading, MA 01867 • United States
Reading, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Salem | MA | 06/2008 | Present |
(1) ON 01/15/2014 - DBA ONLY - SALEM FIVE INVESTMENT SERVICES, LLC - SALEM, MA (2) ON 01/22/2014 - SALEM FIVE FINANCIAL - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - SALEM, MA (3) 12/16/2014 - MOUNT SUNAPEE LEARNING CENTER - OUTSIDE/W-2 EMPLOYMENT - SALEM, MA (4) 12/07/2021 - Reading Public Schools - Not Investment Related - 82 Oakland Road, Reading MA 01867 - Outside/W-2 Employment - Assistant Swim Coach - Start Date: 12/11/2021 - 25 Hours Per Month/0 Hours During Securities Trading - Assistant Swim Coach-Reading Memorial High School (5) 05/08/2023 - Salem Five Wealth Management and Trust - Not Investment related - At reported business location(s) - Financial Institution Duty - start date:05/28/2019 - 1 hr/mo - 1 hr during trading. (6) 04/11/2024 - Salem Five Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/01/2024 - 160 Hours Per Month/ 8 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 1995-05-05 |
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