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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2004-05-25 |
Branch Locations
6 Executive Dr., Ste 103, Farmington, CT 06032 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Farmington | CT | 05/2004 | Present |
1) 05/26/2004 - Non-Profit Board Member - Not Investment Related - 0 Hrs/Mth - 0 Hrs During Trading. 2) 05/26/2004 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 0 Hrs/Mth - 0 Hrs During Trading. 3) 10/23/2009 - Tunxis Wealth Management - Non-Variable Insurance DBA - At Reported Business Location(s) - 0 Hrs/Mth - 0 Hrs During Trading. 4) 02/18/2015 - Notary - At Reported Business Location(s) - Start Date:11/20/14 - 1 Hrs/Mth - 0 Hrs During Trading. 5) 02/18/2015 - Notary - At Reported Business Location(s) - Start Date:11/20/14 - 1 Hrs/Mth - 0 Hrs During Trading. 6) 06/24/2025 - RGB Financial - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:06/16/2025 - 40 Hrs/Mth - 40 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1988-08-29 |
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