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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2026-04-02 |
Branch Locations
200 Lowder Brook Dr Ste 2100 B, Westwood, MA 02090 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Braintree | MA | 11/2015 | 11/2016 |
| Tiaa-Cref Individual & Institutional Services, Llc | Braintree | MA | 11/2015 | 11/2018 |
| Royal Alliance Associates Inc. | Quincy | MA | 11/2018 | 06/2019 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2019 | 04/2026 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 06/2019 | 04/2026 |
| Lpl Financial Llc | Westwood | MA | 04/2026 | Present |
1. 03/2026 - Bay Financial Associates, LLC - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - 160 Hrs/Mth - 10 Hrs During Trading - OBA start date: 4/2/2026 2. 03/2026 - Jeffrey Sullivan - Non-Variable Insurance - Investment related - Westwood MA 02090 - 05 Hrs/Mth - 05 Hrs During Trading - OBA start date: 03/27/2026 3. 03/2026 - Peacefield Financial - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - 160 Hrs/Mth - 10 Hrs During Trading - OBA start date: 4/2/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 2016-04-16 |
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