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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-01-04
CT RA APPROVED 2022-07-12
  • TX RA
    APPROVED_RES
    Since 2024-01-04
  • CT RA
    APPROVED
    Since 2022-07-12

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

265 North Main St. Ste 1, Wallingford, CT 06492 • United States

265 North Main St. Ste 1, Wallingford, CT 06492-3773 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Investors Capital Corp Lynnfield MA 06/2008 09/2016
Woodbury Financial Services Inc Wallingford CT 09/2016 07/2022
Lpl Financial Wallingford CT 07/2022 Present
  • 06/2008 → 09/2016
    Investors Capital Corp
    Lynnfield, MA
  • 09/2016 → 07/2022
    Woodbury Financial Services Inc
    Wallingford, CT
  • 07/2022 → Present
    Lpl Financial
    Wallingford, CT
Previous Registrations
  • 2016-09-20 → 2022-07-12
    Woodbury Financial Services, Inc.
    Wallingford, CT
    Wallingford, CT
    Poughkeepsie, NY
  • 2008-06-23 → 2016-09-19
    Investors Capital Corp.
    Wallingford, CT
    Clinton, CT
    Clinton, CT
    Lynnfield, MA
    Lynnfield, MA
Other Businesses

1-06/2022 / Ginsberg Financial Advising / DBA for LPL Business (entity for LPL business) / Investment Related / 160 HR MNTH & 40 HR During Trading / Wallingford, CT 06492 2-06/1985 / Ginsberg Financial Advising / Non-Variable Insurance / Investment Related / Wallingford, CT 3- 09/2015 / Real Estate Rental / Investment Related / 6 Harnish Lane, Wallingford, CT 06492 4- 09/19/2023 - Nationwide Insurance - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 06/01/2023 - 20 Hours Per Month/ 1 Hour During Trading 5- 09/19/2023 - OneAmerica - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 08/28/2023 - 20 Hours Per Month/ 1 Hour During Trading 6- 09/19/2023 - Securian - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 08/15/2023 - 20 Hours Per Month/ 1 Hour During Trading 7- 09/19/2023 - Symetra - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 06/01/2023 - 20 Hours Per Month/ 1 Hour During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-19
  • S66 Uniform Combined State Law Examination
    2008-06-19
Other Names
  • Bob Scott Ginsberg

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