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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2012-07-02 |
Branch Locations
145 Highland Ave, Cheshire, CT 06410 • United States
1151 S Main St, Cheshire, CT 06410 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Webster Investment Services Inc | Kensington | CT | 12/2006 | 02/2018 |
| Lpl Financial, Llc | Cheshire | CT | 10/2011 | Present |
1. 11/28/2011: REAL ESTATE RENTAL - 115 SOUTH MAIN STREET REAL ESTATE, LLC - REAL ESTATE HOLDING COMPANY - 10% OF TIME SPENT. 2. 11/28/2011: Outside/W-2 Employment - DANA BARTONE & CO, LLC - HAIR SALON & SPA - NO DUTIES OR RESPONSIBILITIES - 10% OF TIME SPENT. 3. 12/14/2011: Dana Bartone & Co. LLC - Hair Salon - NOT INV REL - At Reported Business Location(s) - Dana Bartone & Co. LLC. I am an 81% owner of this LLC. I have no active role in this business. - 1% Time Spent 4. 12/14/2011: REAL ESTATE RENTAL - 1151 SOUTH MAIN STREET REAL ESTATE, LLC- CHESHIRE, CT06410 - 2% OF TIME SPENT. 5. 10/30/2018 - Connecticut Veteran's Legal Center - Not Investment Related - CVLC114 Boston Post RoadWest Haven CT 06516 - Other - Legal services - Start Date:11/02/2018 - 10 Hours Per Month/0 Hours During Trading. 6. 4/20/2021 - David J. Nastri, Attorney at Law - Not Investment Related - Home Based - Other-Attorney at Law - Started 11/02/2018 - 10 Hours Per Month/0 Hours During Securities Trading - Licensed attorney in the state of Connecticut. 7. 05/03/2024 - Connecticut Investment Advisors Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/03/2024 - 160 Hours Per Month/ 8 Hours During Trading 8. 08/15/2025 - CRUMP - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 07/25/2025 - 1 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-28 |
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