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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-08-12
  • CT RA
    APPROVED
    Since 2022-08-12

Branch Locations

131 West St, Danbury, CT 06810 • United States

225 N Main Street, Ste 309, Bristol, CT 06010 • United States

321 Research Parkway, Meriden, CT 06450 • 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
Guardian Life Insurance Co Of America Farmington CT 01/2012 04/2021
Park Avenue Securities Llc Farmington CT 01/2012 04/2021
Woodbury Financial Services Inc Meriden CT 04/2021 08/2022
Lpl Financial, Llc Meriden CT 08/2022 Present
  • 01/2012 → 04/2021
    Guardian Life Insurance Co Of America
    Farmington, CT
  • 01/2012 → 04/2021
    Farmington, CT
  • 04/2021 → 08/2022
    Woodbury Financial Services Inc
    Meriden, CT
  • 08/2022 → Present
    Meriden, CT
Previous Registrations
  • 2021-04-16 → 2022-09-07
    Woodbury Financial Services, Inc.
    Meriden, CT
    New City, NY
  • 2012-02-28 → 2021-04-21
    Farmington, CT
    Westport, CT
Other Businesses

1) 4/2021 - DBA for LPL Business (entity for LPL business) - HAS INSURANCE SOLUTIONS - Investment Related - 160 hr/mon - 8 hr/trading - 100% - Meriden, CT 06450 2) 4/2021 - DBA for LPL Business (entity for LPL business) - HAS WEALTH MANAGEMENT AND INSURANCE SOLUTIONS - Investment Related - 160 hr/mon - 8 hr/trading - 100% - Meriden, CT 06450 3) 4/2022 - Non-Variable Insurance - Justin Getts - Investment Related - 160 hr/mon - 8 hr/trading - 100% - Meriden, CT 06450 4) 4/2021 - DBA for LPL Business (entity for LPL business) - HAS INSURANCE AND WEALTH MANAGEMENT - Investment Related - 160 hr/mon - 8 hr/trading - 100% - Meriden, CT 06450

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-01-03
  • S66 Uniform Combined State Law Examination
    2012-01-03
Other Names
  • Justin T Getts

View on SEC IAPD

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