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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| PA | RA | APPROVED | 2020-05-14 |
| TX | RA | APPROVED_RES | 2019-05-09 |
| CT | RA | APPROVED | 2017-12-18 |
Branch Locations
185 Great Neck Rd Ste 407, Great Neck, NY 11021 • United States
263 Tresser Blvd. First Floor, Stamford, CT 06901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| People'S Securities, Inc. | Bridgeport | CT | 03/2013 | 12/2017 |
| Lpl Financial Llc | Stamford | CT | 12/2017 | Present |
1) 12/18/17- Real Estate Rental- Owner of 4 properties - Inv. Related- Fairfield, CT- start date 1/5/2003 - 1% 2) 02/12/2018 - NorthEast Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 01/19/2018 - 2 Hours Per Month/1 Hour During Securities Trading - Life. 3) 5/24/2018 - American Strategic Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 05/23/2018 - 160 Hours Per Month/8 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 2008-09-23 |
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