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Spencer M Rogers

LPl Financial LLC

Wallingford, CT

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2026-03-12
  • CT RA
    APPROVED
    Since 2026-03-12

Branch Locations

111 South Main Street, Wallingford, CT 06492 • 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
Student Old Saybrook CT 01/2015 05/2020
Times Microwave Systems Wallingford Ct CT 06/2020 08/2020
Bryant Smithfield RI 09/2020 05/2021
Morgan Stanley New York City NY 06/2021 08/2021
Bryant Smithfield RI 09/2021 05/2022
Deloitte Hartford CT 06/2022 08/2022
Bryant Smithfield RI 09/2022 08/2024
Deloitte Hartford CT 09/2024 12/2025
Lpl Financial Wallingford CT 01/2026 Present
  • 01/2015 → 05/2020
    Student
    Old Saybrook, CT
  • 06/2020 → 08/2020
    Times Microwave Systems
    Wallingford Ct, CT
  • 09/2020 → 05/2021
    Bryant
    Smithfield, RI
  • 06/2021 → 08/2021
    Morgan Stanley
    New York City, NY
  • 09/2021 → 05/2022
    Bryant
    Smithfield, RI
  • 06/2022 → 08/2022
    Deloitte
    Hartford, CT
  • 09/2022 → 08/2024
    Bryant
    Smithfield, RI
  • 09/2024 → 12/2025
    Deloitte
    Hartford, CT
  • 01/2026 → Present
    Lpl Financial
    Wallingford, CT
Other Businesses

1.12/19/2025 - Northeast Wealth Solutions - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month -160 Hour(s) During Trading - At Reported Business Location (s) - OBA Start Date: 01/07/2026

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-02-27
  • S66 Uniform Combined State Law Examination
    2026-02-27

View on SEC IAPD

Other Firms

LPL ENTERPRISE, LLC
TOOMEY INVESTMENT MANAGEMENT, INC
CETERA INVESTMENT ADVISERS LLC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
EDWARD JONES
SENTINEL ASSET MANAGEMENT, LLC
ARMSTRONG ADVISORY GROUP INC.

Other Investors

CAMERON EARL RICE
TIMOTHY GILBERT LASSEN
PETER JOSEPH COWEN
JOHN JOSEPH CAPECE
FRANK CHRISTOPHER ADAMS
TIMOTHY RYAN MACDONALD
ROB CASSELLA
AUSTIN PATRICK TOOMEY

Other Offices

LPL ENTERPRISE, LLC · WALLINGFORD, CT
TOOMEY INVESTMENT MANAGEMENT, INC · WALLINGFORD, CT
LPL FINANCIAL LLC · WALLINGFORD, CT
CETERA INVESTMENT ADVISERS LLC · WALLINGFORD, CT
WELLS FARGO CLEARING SERVICES, LLC · WALLINGFORD, CT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WALLINGFORD, CT
CETERA INVESTMENT ADVISERS LLC · WALLINGFORD, CT
EDWARD JONES · WALLINGFORD, CT

More in Wallingford, CT

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