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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-11-29 |
| CT | RA | APPROVED | 2017-11-29 |
| GA | RA | APPROVED | 2017-11-29 |
| KS | RA | APPROVED | 2017-11-29 |
| MI | RA | APPROVED | 2017-11-29 |
| NV | RA | APPROVED | 2017-11-29 |
| OH | RA | APPROVED | 2017-11-29 |
| OR | RA | APPROVED | 2017-11-29 |
| PA | RA | APPROVED | 2017-11-29 |
| TX | RA | APPROVED_RES | 2017-11-29 |
Branch Locations
124 Simsbury Rd Bldg. 1, Avon, CT 06001 • United States
455 Winding Brook Drive, Glastonbury, CT 06033 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Glastonbury | CT | 01/2005 | 11/2017 |
| Lpl Financial Llc | Glastonbury | CT | 11/2017 | Present |
1. 11/29/2017 - Clergy Consultants - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 30%. 2. 11/29/2017 - CONNECTICUT FINANCIAL NETWORK, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 1985 - 130 Hours Per Month - Time Spent 30%. 3. 11/29/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - .5 Hours Per Month - FIXED/TERM INSURANCE, LONG TERM CARE. 4. 7/19/2018 - RetirementResources - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 05/04/2018 - 0 Hours Per Month. 5. 7/24/2018 - Gateway Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 1984-11-30 |
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