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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2018-01-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nationwide Insurance | Monroeville | PA | 07/2013 | 01/2018 |
| Nationwide Securities Llc | Columbus | OH | 07/2013 | 01/2018 |
| Donner-Farber & Associates, Inc. | Monroeville | PA | 05/2013 | 06/2020 |
| Lpl Financial, Llc | Pittsburgh | PA | 01/2018 | Present |
1. 1/30/2018 - NEN Financial, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/31/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 6/23/2020 - NEN Financial, Inc. - Investment Related - At Reported Business Location(s) - Insurance Agency - Branch Operations Manager - Start Date: 01/01/2020 - 80 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 2013-09-06 |
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