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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-11-18 |
| ME | RA | APPROVED | 2024-11-14 |
Branch Locations
2178 Post Rd Suite 201, Wells, ME 04090 • United States
500 Edgewater Drive Suite 595, Wakefield, MA 01880 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Personal And Workplace Advisors | Boston | MA | 07/2013 | 10/2018 |
| Pruco Securities, Llc. | Portland | ME | 10/2018 | 11/2024 |
| Prudential Insurance Company Of America | Portland | ME | 10/2018 | Present |
| Lpl Enterprise, Llc | Portland | ME | 11/2024 | Present |
1) 2026-04-30 - Investment products and services are offered through LPL Enterprise LLC using the DBA/trade name. - Welkin Financial Planning - DBA for LPL Business (entity for LPL business) - Y - 200 - 130 - at reported business location(s) - 2026-04-29 - DBA for use in Financial Planning, Investment Advisory, and Insurance Business 2) 2025-07-08 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Y - - - at reported business location(s) - 2025-07-08 - ?Fixed life insurance through Prudential Individual Life Insurance (ILI). ?Fixed life, disability, and LTC through the Prudential sponsored Crump and Ash agreements. ?Healthcare business through the Prudential sponsored agreements with Benefit Mall and Emerson Rogers. 3) 2024-09-18 - Investment products and services are offered through LPL Enterprise LLC using the DBA/trade name. - Congress Street Financial Group - DBA for LPL Business (entity for LPL business) - Y - 80 - 80 - at reported business location(s) - 2024-09-09 - Sales and Service of Insurance and Investments
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 2013-05-24 |
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