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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2025-03-26
AZ RA APPROVED 2025-03-06
CA RA APPROVED 2025-03-06
CO RA APPROVED 2025-03-06
CT RA APPROVED 2025-03-06
DE RA APPROVED 2025-03-06
FL RA APPROVED 2025-03-06
IN RA APPROVED 2025-03-06
ME RA APPROVED 2025-03-06
MI RA APPROVED 2025-03-06
NJ RA APPROVED 2025-03-06
NY RA APPROVED 2025-03-06
NC RA APPROVED 2025-03-06
PA RA APPROVED 2025-03-06
SC RA APPROVED 2025-03-06
VA RA APPROVED 2025-03-06
  • MA RA
    APPROVED
    Since 2025-03-26
  • AZ RA
    APPROVED
    Since 2025-03-06
  • CA RA
    APPROVED
    Since 2025-03-06
  • CO RA
    APPROVED
    Since 2025-03-06
  • CT RA
    APPROVED
    Since 2025-03-06
  • DE RA
    APPROVED
    Since 2025-03-06
  • FL RA
    APPROVED
    Since 2025-03-06
  • IN RA
    APPROVED
    Since 2025-03-06
  • ME RA
    APPROVED
    Since 2025-03-06
  • MI RA
    APPROVED
    Since 2025-03-06
  • NJ RA
    APPROVED
    Since 2025-03-06
  • NY RA
    APPROVED
    Since 2025-03-06
  • NC RA
    APPROVED
    Since 2025-03-06
  • PA RA
    APPROVED
    Since 2025-03-06
  • SC RA
    APPROVED
    Since 2025-03-06
  • VA RA
    APPROVED
    Since 2025-03-06

Branch Locations

44 South 21St Street Suite B, Kenilworth, NJ 07033 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
The Investment Center Kenilworth NJ 02/2004 03/2025
Ic Advisory Services, Inc. Kenilworth NJ 06/2006 03/2025
Lpl Financial Llc Kenilworth NJ 03/2025 Present
  • 02/2004 → 03/2025
    The Investment Center
    Kenilworth, NJ
  • 06/2006 → 03/2025
    Ic Advisory Services, Inc.
    Kenilworth, NJ
  • 03/2025 → Present
    Kenilworth, NJ
Previous Registrations
  • 2006-06-02 → 2025-03-14
    Ic Advisory Services, Inc.
    Cranford, NJ
    Bedminster, NJ
  • 2004-02-13 → 2006-10-02
    The Investment Center, Inc.
    Kenilworth, NJ
    Bedminster, NJ
Other Businesses

1- 03/06/2025 - GF college financial aid - Business Owner - Not Investment Related - At Reported Business Location(s) - Start Date 06/16/2014 - 5 hours per month/ 0 hours during trading 2- 03/06/2025 - Orange Ave Assoc. - Real Estate Rental - Co-Owner - Investment Related - At Reported Business Location(s) - Start Date 06/15/2016 - 20 hours per month/ 0 hours during trading 3- 03/06/2025 - Garretson Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/02/2004 - 160 hours per month/ 120 hours during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-09-13
S63 Uniform Securities Agent State Law Examination 1984-01-13
  • S65 Uniform Investment Adviser Law Examination
    1995-09-13
  • S63 Uniform Securities Agent State Law Examination
    1984-01-13
Designations

View on SEC IAPD

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