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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2018-09-17
MA RA APPROVED 2018-03-19
  • CT RA
    APPROVED
    Since 2018-09-17
  • MA RA
    APPROVED
    Since 2018-03-19

Branch Locations

57 Circuit Ave, Oak Bluffs, MA 02557 • United States

257 Edgartown, Vineyard Haven, MA 02568 • United States

257 Upper Main St, Edgartown, MA 02568 • United States

2 South Water St, Edgart0Wn, MA 02539 • United States

104 Pleasant St, Nantucket, MA 02554 • United States

2 Orange St, Nantucket, MA 02554 • United States

1 Amelia Dr, Nantucket, MA 02554 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mvsb West Tisbury MA 05/2014 07/2017
Rockland Trust Company Edgart0Wn MA 07/2017 Present
Lpl Financial Llc Edgart0Wn MA 10/2017 Present
  • 05/2014 → 07/2017
    Mvsb
    West Tisbury, MA
  • 07/2017 → Present
    Rockland Trust Company
    Edgart0Wn, MA
  • 10/2017 → Present
    Edgart0Wn, MA
Other Businesses

1) 10/26/2017 - Rockland Trust Financial Services DBA - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) 2) 4/10/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 04/16/2018 - 15 Hours Per Month/5 Hours During Securities Trading. 3). 05/03/2019 - RT INVESTMENT SERVICES - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:5/3/2019. 4) 05/16/2022 - Edouard Begin DBA CLAMBULANCE - Not-Investment Related - 48 Main St. Vineyard Haven, MA 02568- Start Date - 5/02/2022 - 80 Hours Per Month1 Hours During Securities Trading 5) 3/8/2023 - BSMG - Investment - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 02/02/2023 - 10 Hours Per Month/2 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-01-16
S63 Uniform Securities Agent State Law Examination 2006-01-09
  • S66 Uniform Combined State Law Examination
    2018-01-16
  • S63 Uniform Securities Agent State Law Examination
    2006-01-09
Other Names
  • Beau Begin
  • Edouard Begin
  • Edouard Emile Begin

View on SEC IAPD

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