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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-03-27 |
| MA | RA | APPROVED | 2013-06-17 |
Branch Locations
200 Charlton Road, Ste B, Sturbridge, MA 01566 • 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 | Sturbridge | MA | 09/2005 | Present |
| Cornerstone Bank (Formerly: Southbridge Savings Bank (Ma)) | Sturbridge | MA | 09/2005 | Present |
1. 1/23/2007 - NON-VARIABLE INSURANCE - FIXED INSURANCE AND FIXED ANNUITY SALES. - TIME SPENT: 5% - SOUTHBRIDGE, MA. 2. 10/18/2015 * SSB Investment Services * Non-Variable Insurance * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 09/15/2015 * 1 HR/MO DURING SECS TRDG HRS. 3. 2/13/2020 - Cornerstone Bank - DBA: The Capstone Planning Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/01/2020 - 180 Hours Per Month/120 Hours During Securities Trading. 4. 07/13/2021 - Simple Bones Furniture - Not Investment Related - Home Based - Other-Build furniture for sale - Start Date: 05/01/2021 - 1 Hour Per Month/0 Hours During Securities Trading - This is a one-time sale of furniture I built.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-29 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-22 |
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