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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2021-09-30 |
| TX | RA | APPROVED | 2021-09-30 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Red Bank | NJ | 02/2012 | 09/2021 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2021 |
| Lpl Financial, Llc | Red Bank | NJ | 09/2021 | Present |
1) 8/2021 - DBA for LPL Business (entity for LPL business) - GLADSTONE WEALTH PARTNERS - Investment Related - Red Bank, NJ 07701 2) 8/2021 - DBA for LPL Business (entity for LPL business) - TRIDENT WEALTH MANAGEMENT - Investment Related - Red Bank, NJ 07701 3) 8/2021 - Non-Variable Insurance - Douglas Chin - Investment Related - Red Bank, NJ 07701
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-08 |
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