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Current Employers
Professional Planning Group

9 Granite Street, Westerly, RI 02891 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2025-04-14
TX RA APPROVED 2025-04-04
  • RI RA
    APPROVED
    Since 2025-04-14
  • TX RA
    APPROVED
    Since 2025-04-04

Branch Locations

9 Granite Street, Westerly, RI 02891 • 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
Td Ameritrade West Hartford CT 09/2013 04/2018
Charles Schwab & Co., Inc. Providence RI 12/2022 02/2025
Td Ameritrade Providence RI 10/2018 12/2022
Raymond James Financial Services, Inc. Westerly RI 02/2025 Present
New England Professional Planning Group Westerly RI 02/2025 Present
Td Ameritrade Brookfield CT 04/2018 10/2018
  • 09/2013 → 04/2018
    Td Ameritrade
    West Hartford, CT
  • 12/2022 → 02/2025
    Providence, RI
  • 10/2018 → 12/2022
    Td Ameritrade
    Providence, RI
  • 02/2025 → Present
    Raymond James Financial Services, Inc.
    Westerly, RI
  • 02/2025 → Present
    New England Professional Planning Group
    Westerly, RI
  • 04/2018 → 10/2018
    Td Ameritrade
    Brookfield, CT
Previous Registrations
  • 2022-01-26 → 2025-03-05
    Providence, RI
  • 2013-10-15 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Brookfield, CT
    Providence, RI
    Providence, RI
  • 2013-10-15 → 2022-10-14
    Td Ameritrade, Inc.
    West Hartford, CT
    Brookfield, CT
    San Diego, CA
    Providence, RI
    Omaha, NE
  • 2010-12-16 → 2013-09-19
    Windsor, CT
    Windsor, CT
    Windsor, CT
  • 2008-07-09 → 2010-12-31
    Voya Financial Partners, Llc
    Windsor, CT
Other Businesses

(1)Name of Business: Professional Planning Group Address: 9 Granite St, Westerly, RI, 02891-2207, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 02/24/2025 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Trading, client service, client reviews.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-30
  • S66 Uniform Combined State Law Examination
    2006-09-30
Designations

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