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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-01-09 |
Branch Locations
3395 Main St, Stratford, CT 06614 • United States
2772 Main Street, Stratford, CT 06615 • United States
653 Orange Center Road, Orange, CT 06477 • United States
Bethany, CT • United States
1636 Boston Post Road, Milford, CT 06460 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| People'S United Bank | Shelton | CT | 04/2005 | 08/2022 |
| People'S Securities, Inc. | Shelton | CT | 03/2021 | 08/2022 |
| Lpl Financial Llc | New Haven | CT | 01/2023 | Present |
| Lpl Financial Llc | Shelton | CT | 08/2022 | 10/2022 |
| Webster Bank | Shelton | CT | 01/2023 | 03/2024 |
| M&T Bank | New Haven | CT | 03/2024 | Present |
1) 01/04/2023 - Webster Bank - Financial Institution Duties - At Reported Business Location(s) 2) 01/04/2023 - Notary - State of CT - Investment Related 3) 09/19/2024 - Wilmington Advisors @ M&T - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 03/29/2024 - 50 Hours Per Month/ 40 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-14 |
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