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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-08-12
NH RA APPROVED 2008-02-01
  • TX RA
    APPROVED
    Since 2020-08-12
  • NH RA
    APPROVED
    Since 2008-02-01

Branch Locations

43 Constitution Dr., Bedford, NH 03110 • United States

43 Constitution Dr., Bedford, NH 03110 • United States

Northeast Planning Associates, Inc.

43 Constitution Drive, Bedford, NH 03110 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2019-03-29
  • NH RA
    APPROVED
    Since 2019-03-29

Branch Locations

43 Constitution Drive, 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
Lpl Financial Llc Bedford NH 02/2008 Present
Flatiron Financial Group Manchester NH 11/2009 03/2019
Northeast Planning Associates, Inc. Bedford NH 03/2019 Present
Previous Registrations
  • 2009-09-11 → 2010-12-31
    Flatiron Financial Group, Llc
    Manchester, NH
  • 2003-07-22 → 2008-02-04
    Osaic Fs, Inc.
    Burlington, MA
    Manchester, NH
  • 2004-12-16 → 2005-03-14
    Windham, NH
Other Businesses

1. 4/16/2019 - Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date: 03/26/2019 - 3 Hours Per Month/3 Hours During Securities Trading - I provide financial planning and consulting services through Northeast Planning Associates, Inc, an independent investment advisor firm. I started this business activity in 03/2019. I expect to spend approximately 3 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. 2. 11/25/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/14/2019 - 3 Hours Per Month During Securities Trading. 3. 1/27/2021 - Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/26/2021 - 150 Hours Per Month/8 Hours During Securities Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-03-06
  • S63 Uniform Securities Agent State Law Examination
    1998-03-06
Designations

View on SEC IAPD

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