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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2020-01-06
  • CT RA
    APPROVED
    Since 2020-01-06

Branch Locations

455 Winding Brook Drive, Glastonbury, CT 06033 • United States

197 Church Street, Naugatuck, CT 06770 • 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
Naugatuck Savings Bank Naugatuck CT 07/1984 05/2017
Infinex Investments, Inc. Naugatuck CT 06/2005 05/2017
Citizens Securities, Inc North Haven CT 05/2017 01/2020
Lpl Financial Llc Glastonbury CT 02/2020 Present
  • 07/1984 → 05/2017
    Naugatuck Savings Bank
    Naugatuck, CT
  • 06/2005 → 05/2017
    Infinex Investments, Inc.
    Naugatuck, CT
  • 05/2017 → 01/2020
    North Haven, CT
  • 02/2020 → Present
    Glastonbury, CT
Previous Registrations
  • 2017-05-22 → 2020-01-07
    North Haven, CT
    New Haven, CT
    New Haven, CT
    Deep River, CT
    Bridgeport, CT
  • 2005-09-28 → 2017-05-22
    Naugatuck, CT
    Waterbury, CT
    Naugatuck, CT
    Prospect, CT
    Waterbury, CT
    Cheshire, CT
    Cheshire, CT
    Naugatuck, CT
Other Businesses

1)01/06/2020 - Gateway Financial Partners - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 01/2020 - 100 hr/mth 2)01/06/2020 - Gateway Financial Partners - Non-Variable Insurance - inv rel - at reported business location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-27
  • S66 Uniform Combined State Law Examination
    2005-09-27
Other Names
  • David White Roger

View on SEC IAPD

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