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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-07-26 |
| TX | RA | APPROVED | 2024-07-26 |
Branch Locations
116 Washington Ave. 2Nd Fl, North Haven, CT 06473 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foresters Financial Services | North Haven | CT | 02/2006 | 06/2019 |
| Foresters Advisory Services | North Haven | CT | 03/2015 | 06/2019 |
| Cetera Investment Advisers Llc | North Haven | CT | 06/2019 | 07/2024 |
| Cetera Investment Services Llc | St. Cloud | MN | 06/2019 | 07/2024 |
| Lpl Financial Llc | North Haven | CT | 07/2024 | Present |
1) 05/29/2024 - Soundway Financial - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 200 Hours per month. 2) 10/31/2024 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 08/13/2024 - 15 Hours Per Month/ 3 Hours during Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 2006-02-27 |
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