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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-01-23 |
| NY | RA | APPROVED | 2026-01-23 |
Branch Locations
1 Corporate Drive Suite 205, Shelton, CT 06484 • United States
360 Hamilton Ave 9Th Floor, White Plains, NY 10601 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Securities (Usa) Llc | New York | NY | 05/2007 | 06/2019 |
| Credit Agricole Securities (Usa) Inc | New York | NY | 06/2020 | 09/2020 |
| Unemployed | Fairfield | CT | 07/2019 | 05/2020 |
| Unemployed | Fairfield | CT | 10/2020 | 11/2020 |
| Oppenheimer & Co. Inc. | New York | NY | 11/2020 | 01/2022 |
| Sentinel Asset Management, Llc | Westport | CT | 11/2023 | 01/2026 |
| Lpl Enterprise Llc | White Plains | NY | 01/2026 | Present |
| Unemployed | Fairfield | CT | 02/2022 | 04/2023 |
| Colonial Life | White Plains | NY | 05/2023 | 11/2023 |
1. 01/13/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Fairfiled CT - Inv Related - Start Date: 01/12/2026 - 160 Hour(s)/Month - 160 Hour(s) During Trading 2) 03/25/2026-Prudential Sponsored Non-Variable Insurance-Financial Professional-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s)-Start date 01/12/2026-160hrs/mth-160hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-01-07 |
| S65 | Uniform Investment Adviser Law Examination | 1996-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-13 |
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