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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-07-10 |
| NY | RA | APPROVED | 2025-07-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Next Financial Group Inc | Poughkeepsie | NY | 10/2014 | 07/2025 |
| Lpl Financial Llc | Poughkeepsie | NY | 07/2025 | Present |
1- 07/16/2025 - Film Production consultant - Other - Investment Related - At Reported Business Location(s) - Start Date 08/14/1985 - 5 hours per month/ 0 hours during trading 2- 07/16/2025 - RetireWell-USA - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 02/15/2025 - 10 hours per month/ 10 hours during trading 3- 07/16/2025 - RetireWell-USA - Property and Casualty - Investment Related - At Reported Business Location(s) - Start Date 09/23/2019 - 10 hours per month/ 10 hours during trading 4- 07/16/2025 - RetireWell-USA - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/02/2015 - 60 hours per month/ 34 hours during trading 5- 07/16/2025 - Musician - Artist/ Musician - Bassist - Not Investment Related - Poughkeepsie, NY - Start Date 06/02/1964 - 8 hours per month/ 0 hours during trading 6- 07/16/2025 - Harvest Band - Artist/ Musician - Bass Player - Not Investment Related - Poughkeepsie, NY - Start Date 06/05/1965 - 6 hours per month/ 10 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-01-23 |
| S63 | Uniform Securities Agent State Law Examination | 2009-03-03 |
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