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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2007-07-27
  • NH RA
    APPROVED
    Since 2007-07-27

Branch Locations

43 Constitution Dr., Bedford, NH 03110 • United States

Northeast Planning Associates, Inc.

43 Constitution Drive, Bedford, NH 03110 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2004-07-22
  • NH RA
    APPROVED
    Since 2004-07-22

Branch Locations

43 Constitution Drive, Bedford, NH 03110 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northeast Planning Associates, Inc. Bedford NH 02/1980 Present
Lpl Financial Llc Bedford NH 07/2007 Present
Previous Registrations
  • 2003-12-17 → 2004-09-29
    Mutual Service Corporation
    Bedford, NH
    Bedford, NH
  • 1983-03-04 → 2003-12-18
    Veravest Investment Advisors, Inc.
    Bedford, NH
Other Businesses

(1) 07/19/2007 - No Business Name - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - TIME SPENT 5% - LTC, fixed annuities, life, and health. (2) 07/19/2007 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - NORTHEAST PLANNING ASSOCIATES INC - INV REL - AT REPORTED BUSINESS LOCATION(S) (3) 11/14/2007 - NORTHEAST PLANNING ASSOCIATES, INC. - REGISTERED INVESTMENT ADVISOR - INV REL - AT REPORTED BUSINESS LOCATION(S) - TIME SPENT 20% (4) 3/24/2016: Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 11/11/2015 - 20 Hours Per Month During Securities Trading - RIA provides financial planning for a fixed and/or hourly fee along with investment management. (5) 08/27/2024 - Evergreen Strategic Partners - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/27/2024 - 160 Hours Per Month/ 40 Hours During Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1982-09-28
  • S63 Uniform Securities Agent State Law Examination
    1982-09-28

View on SEC IAPD

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