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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-11-12 |
| MA | RA | APPROVED | 2012-09-20 |
Branch Locations
1252 Elm Street Suite 7, West Springfield, MA 01089 • 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 |
|---|---|---|---|---|
| Lpl Financial Llc | West Springfield | MA | 05/2012 | Present |
(1) 08/15/2012: Harten Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 10/26/2016: Harten Financial Group - Non-Variable Insurance - Investment Related - 1252 Elm Street Suite 7, West Springfield MA 01089 - Start 09/01/2016 - 20 Hr/Mo; 10 Hour(s) During Securities Trading - Advisor. INS Types: Life, Health, Disability, LTC, Fixed Annuities
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-07-26 |
| S63 | Uniform Securities Agent State Law Examination | 1995-06-26 |
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