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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-08-13 |
| RI | RA | APPROVED | 2024-06-11 |
| MA | RA | APPROVED | 2019-12-05 |
Branch Locations
200 Lowder Brook Dr Ste 2100, Westwood, MA 02090 • United States
Taftville, CT • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | Philadelphia | PA | 10/2003 | 10/2019 |
| Lpl Financial Llc | Waltham | MA | 10/2019 | Present |
1)11/07/2019 - Bay Financial Associates LLC - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 11/2019
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-01 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-17 |
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