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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-03-11 |
| MA | RA | APPROVED | 2011-03-22 |
Branch Locations
45 Lyman Street, Suite 29 Chauncy Place, Westborough, MA 01581 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Westborough | MA | 09/2008 | Present |
| Bay Financial Advisors, Inc | Westborough | MA | 04/2015 | 12/2021 |
1) 01/11/2011: THOMAS FINANCIAL ASSOCIATES - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) 2) 01/21/2011: JKT FINANCIAL - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) 3) 12/8/2021 - Thomas Wealth, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/1/2022 - 160 Hours Per Month/160 Hours During Securities Trading. 4) 06/06/2022 - Bay Financial Associates - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 05/24/2022 - 1 Hours Per Month/ 1 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-03-18 |
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