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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2023-06-07
  • MA RA
    APPROVED
    Since 2023-06-07

Branch Locations

495 Hancock St, North Quincy, MA 02170 • United States

608 Washington Street, Stoughton, MA 02072 • United States

301 Quincy Ave, Quincy, MA 02043 • United States

84 North Main Street, Randlolph, MA 02368 • 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
Rockland Trust Quincy MA 12/2014 Present
Lpl Financial Llc Rockland MA 05/2022 Present
  • 12/2014 → Present
    Rockland Trust
    Quincy, MA
  • 05/2022 → Present
    Rockland, MA
Other Businesses

1) 5/2022- Rockland Trust Financial Services- DBA for LPL Business (entity for LPL business) - inv. related- Rockland, MA 2) 5/2022- Hui Yu - Notary- inv. related- Quincy, MA - 1hrs/mth 3) 5/2022- Real Estate Rental- landlord/owner- inv. related- 68 Weybosset ST. North Weymouth, MA- start date 5/2002- 0hrs 4) 02/08/2024 - RT Investment Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/02/2024 - 40 Hours Per Month/ During Trading 5) 04/04/2024 - BSMG - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started: 3/6/2024 - 10 Hrs/Mo; 1 Hr During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-17
  • S66 Uniform Combined State Law Examination
    2022-12-17
Other Names
  • John Yu
  • Hui A Yu

View on SEC IAPD

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