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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-03-17 |
| MA | RA | APPROVED | 2009-04-27 |
Branch Locations
200 Lowder Brook Dr Ste 2100, Westwood, MA 02090 • United States
Lexington, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Waltham | MA | 03/2009 | Present |
| Bay Financial Advisors, Inc. | Waltham | MA | 07/2009 | Present |
(1) 03/24/2009 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION(S) - Sale and service of traditional insurance products including life, health, disability, group insurance, LTC, and fixe annuities. - 15% TIME SPENT (2) 03/24/2009 - NO BUSINESS NAME - DBA for LPL Business (entity for LPL business) - DBA: Bay Financial Associates, LLC - INV REL - AT REPORTED BUSINESS LOCATION(S) (3) 07/02/2009 - Bay financial advisors, inc - Registered Investment Advisor - INV REL - AT REPORTED BUSINES LOCATION(S) - 10% TIME SPENT - I provide financial planning and consulting services through Bay Financial Advisors, an independent investment advisor firm. I started this business activity in July, 2009. I expect to spend approximately 10% of my time 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 advisory firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1982-05-24 |
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