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Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2025-08-27
  • DE RA
    APPROVED
    Since 2025-08-27

Branch Locations

121 Continental Drive Suite 109, Newark, DE 19713 • United States

1400 Peoples Plaza Suite 114, Newark, DE 19702 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citizens Bank Nanticoke PA 02/2014 09/2016
Cco Investment Services Nanticoke PA 02/2014 09/2016
Citizens Securities Inc Abington PA 09/2016 09/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Jenkintown PA 10/2017 10/2022
Bank Of America N.A. Jenkintown PA 02/2020 10/2022
Ubs Financial Services Newtown PA 10/2022 08/2025
Lpl Enterprise Peace DE 08/2025 Present
  • 02/2014 → 09/2016
    Citizens Bank
    Nanticoke, PA
  • 02/2014 → 09/2016
    Cco Investment Services
    Nanticoke, PA
  • 09/2016 → 09/2017
    Abington, PA
  • 10/2017 → 10/2022
    Jenkintown, PA
  • 02/2020 → 10/2022
    Bank Of America N.A.
    Jenkintown, PA
  • 10/2022 → 08/2025
    Ubs Financial Services
    Newtown, PA
  • 08/2025 → Present
    Lpl Enterprise
    Peace, DE
Previous Registrations
Other Businesses

1. 08/26/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Newark, DE - Start Date 08/25/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 08/26/2025 - CINDY GARRITY N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Newark, DE - Start Date 08/25/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 3. 02/09/2026-Fuse Financial Planning-Financial Planner/ Practice Manager-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 03/01/2026-160hrs/mth-160hrs/mth during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-01-07
S63 Uniform Securities Agent State Law Examination 2008-08-19
  • S65 Uniform Investment Adviser Law Examination
    2016-01-07
  • S63 Uniform Securities Agent State Law Examination
    2008-08-19
Other Names
  • Cindy Cintron

View on SEC IAPD

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