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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-04-11 |
| CT | RA | APPROVED | 2018-08-14 |
Branch Locations
6 Executive Dr., Ste 103, Farmington, CT 06032 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Farmington | CT | 06/2009 | Present |
1. 11/06/2012 - RGB Financial - INV REL - AT REPROTED LOCATION - DBA for LPL Business (entity for LPL business) 2. 9/16/2018 - Brochu Chase Family LLC - Investment Related - Other-Passive Investment - Investor/Member - Start Date: 07/31/2018 - 0 Hours Per Month/0 Hours During Securities Trading - No services are provided. 3. 01/03/2023 - RGB Tax Services LLC - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date: 03/26/2013 - 160 Hours Per Month/160 Hours During Securities Trading. 4. 01/18/2024 - Underwriters Brokerage Service - Non-Variable Insurance - Licensed Agent - Investment Related - At Reported Business Location(s) - Start Date 01/01/2024 - 1 Hour Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2006-11-30 |
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