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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-01-25
GA RA APPROVED 2021-07-21
  • TX RA
    APPROVED
    Since 2022-01-25
  • GA RA
    APPROVED
    Since 2021-07-21

Branch Locations

2503 Macy Dr, Roswell, GA 30076 • United States

165 Burke Street Ste 208, Stockbridge, GA 30281 • 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
Waddell & Reed, Inc. Alpharetta GA 03/2010 07/2021
Various Insurance Carriers For W & R Insurance Agencies Roswell FL 06/2010 07/2021
Newtown Group Inc Roswell GA 01/2016 Present
Indigo Financial Alpharetta GA 03/2019 Present
Lpl Financial, Llc Alpharetta GA 07/2021 Present
  • 03/2010 → 07/2021
    Waddell & Reed, Inc.
    Alpharetta, GA
  • 06/2010 → 07/2021
    Various Insurance Carriers For W & R Insurance Agencies
    Roswell, FL
  • 01/2016 → Present
    Newtown Group Inc
    Roswell, GA
  • 03/2019 → Present
    Indigo Financial
    Alpharetta, GA
  • 07/2021 → Present
    Alpharetta, GA
Previous Registrations
  • 2010-05-18 → 2021-07-21
    Waddell & Reed
    Atlanta, GA
    Alpharetta, GA
    Charleroi, PA
    Alpharetta, GA
    Stockbridge, GA
Other Businesses

1. 07/21/2021 - Newtown Group Inc. - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 05/04/2016 - Duties/financial responsibilities are of keeping records/books. 2. 8/30/2021 - indiGo Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/02/2019 - 200 Hours Per Month During Securities Trading. 3. 10/31/2022 - Associates of Clifton Park - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 07/14/2021 - 2 Hours Per Month/2 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-05-13
  • S66 Uniform Combined State Law Examination
    2010-05-13
Designations
Other Names
  • Andrew Stone

View on SEC IAPD

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