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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-07-29 |
Branch Locations
83 Newtown Rd., Danbury, CT 06810 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank | Bronxville | NY | 05/2015 | 05/2022 |
| Jpmorgan Securities Llc | Bronxville | NY | 05/2015 | 05/2022 |
| Global Data | New York | NY | 08/2016 | 09/2017 |
| Wells Fargo Clearing Services, Llc | Danbury | CT | 05/2022 | 07/2024 |
| Wells Fargo Bank, Na | Danbury | CT | 05/2022 | 07/2024 |
| Lpl Financial | Somers | NY | 07/2024 | Present |
| Webster Bank | Somers | NY | 07/2024 | Present |
1)06/12/2024 - WEBSTER INVESTMENTS - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)06/12/2024 - WEBSTER BANK - Financial Institution Duty - Inv Rel - At Reported Business Location(s) - Start: 07/2024 - 176 Hr/Mth 3)06/12/2024 - Notary - Inv Rel - State of CT - Start: 04/2022
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 2010-04-09 |
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