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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2012-07-02
  • CT RA
    APPROVED
    Since 2012-07-02

Branch Locations

145 Highland Ave, Cheshire, CT 06410 • United States

1151 S Main St, Cheshire, CT 06410 • 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
Webster Investment Services Inc Kensington CT 12/2006 02/2018
Lpl Financial, Llc Cheshire CT 10/2011 Present
  • 12/2006 → 02/2018
    Webster Investment Services Inc
    Kensington, CT
  • 10/2011 → Present
    Cheshire, CT
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-29
S63 Uniform Securities Agent State Law Examination 2006-11-28
  • S66 Uniform Combined State Law Examination
    2012-06-29
  • S63 Uniform Securities Agent State Law Examination
    2006-11-28

View on SEC IAPD

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