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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-11-12 |
| CT | RA | APPROVED | 2004-06-07 |
Branch Locations
3074 Whitney Ave Building One, Hamden, CT 06518 • United States
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Hamden | CT | 06/2004 | Present |
(1) 05/21/2004: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - SELLING FIXED ANNUITIES, HEALTH, LONG TERM CARE, DISABILITY, PROPERTY & CASUALTY, FIXED LIFE INSURANCE (2) 05/21/2004: PEARL FINANCIAL - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (3) 09/08/2016: Southern CT Tax Group - Tax Prep/Accounting/CPA - Investment Related - 3074 WHITNEY AVE, BUILDING ONE HAMDEN CT 06518 - Start 07/01/2016 - 20 Hr/Mo; 20 Hour(s) During Securities Trading - tax prep business
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2000-07-07 |
| S65 | Uniform Investment Adviser Law Examination | 1998-12-23 |
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