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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2011-10-11
  • CT RA
    APPROVED
    Since 2011-10-11

Branch Locations

361 Main Street, East Hartford, CT 06118 • United States

888 Queen Street, Southington, CT 06489 • United States

455 Hartford Turnpike, Vernon, CT 06066 • United States

304 Broad Street, Manchester, CT 06040 • United States

201 Elm St, Enfield, CT 06082 • United States

109 Sycamore Street, Glastonbury, CT 06033 • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
American Eagle Credit Union East Hartford CT 01/2008 Present
Lpl Financial Llc East Hartford CT 10/2011 Present
  • 01/2008 → Present
    American Eagle Credit Union
    East Hartford, CT
  • 10/2011 → Present
    East Hartford, CT
Previous Registrations
  • 2008-01-11 → 2011-10-11
    Uvest Financial Services Group, Inc.
    Cromwell, CT
    Glastonbury, CT
    Plainville, CT
    Cheshire, CT
    East Hartford, CT
    East Hartford, CT
    East Hartford, CT
    Middletown, CT
    East Hartford, CT
    Enfield, CT
    Enfield, CT
    Hartford, CT
    Farmington, CT
    South Windsor, CT
    Manchester, CT
    Bloomfield, CT
    Bloomfield, CT
    Vernon, CT
  • 2006-03-08 → 2007-03-13
    Glastonbury, CT
    New York, NY
  • 2001-05-04 → 2006-03-08
    Advest, Inc.
    Glastonbury, CT
Other Businesses

1. 10/17/2011 - DBA ONLY - AMERICAN EAGLE FINANCIAL SERVICES 2. 11/11/2011 - AMERICAN EAGLE FCU / AMERICAN EAGLE FINANCIAL SERVICES - I PROVIDE FINANCIAL AND INVESTMENT ADVISCETO MEMBERS AND NON-MEMBERS OF THE CREDIT UNION. (AMERICAN EAGLE FEDERAL CREDIT UNION) - BANK DUTIES - 3. 2/22/2021 - American Eagle Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/15/2021 - 160 Hours Per Month/40 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-29
S63 Uniform Securities Agent State Law Examination 1991-04-08
  • S65 Uniform Investment Adviser Law Examination
    1999-06-29
  • S63 Uniform Securities Agent State Law Examination
    1991-04-08
Other Names
  • Diane Mary Scholan
  • Diane Mary Randazzo
  • Diane Mary Scholan
  • Diane Mary Scholan

View on SEC IAPD

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