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1500 Sulgrave Ave, Baltimore, MD 21209 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-10-26 |
| MD | RA | APPROVED | 2016-08-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Baltimore | MD | 08/2016 | Present |
| Ade, Llc (Armstrong Dixon) | Baltimore | MD | 08/2016 | Present |
1. 08/01/2016: Armstrong Dixon - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location(s) - Started 05/01/2016 - Insurance and advisory - 160 Hr/Mo; 40 Hours During Securities Trading; 90% Time Spent - Insurance and Advisory Business 2. 09/16/2016: ADE - Registered Investment Advisor Hybrid - DBA: (HYBRID) ADE - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start 04/01/2016 - 120 Hr/Mo; 120 Hour(s) During Securities Trading; 80% Time Spent - I provide investment advisory services through ADE, an independent investment advisor firm. I started this business activity in August 2016. I expect to spend approximately 120 hours per month] on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 2/9/2017: ADE LLC - DBA: (HYBRID) ADE LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 5/1/2016 - 160 Hours Per Month During Securities Trading - Time Spent 90% - I provide investment advisory services through ADE LLC, an independent investment advisor firm. I started this business activity in 8/2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 3/22/2019 - Armstrong Dixon - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/18/2019 - 32 Hours Per Month During Securities Trading. 5. 3/26/2019 - ADE, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 03/18/2019 - 32 Hours Per Month/26 Hours During Securities Trading - I provide investment advisory services through ADE LLC, an independent investment advisor firm. I started this business activity in August 2018. I expect to spend approximately 32 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 06/22/2022 - Sulgrave Associates LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Start Date - 08/01/2020 - 0 Hours Per Month/ 0 Hours During Securities Trading 7. 05/18/2023 - Capitol Metro - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 08/01/2016 - 10 Hours Per Month/ 10 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-06-05 |
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