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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-06-13 |
| RI | RA | APPROVED | 2025-06-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lincoln | RI | 09/2014 | 02/2024 |
| Bank Of America N.A. | Lincoln | RI | 09/2019 | 02/2024 |
| Fidelity Investments | Smithfield | RI | 03/2024 | 06/2025 |
| Fidelity Investments | Boston | MA | 03/2024 | 06/2025 |
| Lpl Enterprise Llc | Warwick | RI | 06/2025 | Present |
1) 02/09/2025-David Ray-N/A Non-Variable Insurance-Financial Professional-Non-Variable Insurance/Insurance Agency-Inv related-At Killingly, CT-Start date 05/07/2025-160hrs/mth-160hrs/mth during trading 2) 02/23/2026-Ray & Sons Farm and Fleet-Co- Owner-Farm-Not inv related-At Foster, RI-Start date 02/25/2026-20hrs/mth-10hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 2014-11-25 |
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