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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-04-03 |
| MA | RA | APPROVED | 2007-12-21 |
Branch Locations
200 Lowder Brook Dr Ste 2100, Westwood, MA 02090 • United States
Belmont, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Waltham | MA | 12/2007 | Present |
| Bay Financial Advisors, Inc. | Waltham | MA | 05/2008 | 12/2021 |
1. 12/19/2007 - Bay Financial Associates, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 3/13/2008 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 5% - Service Only of Existing Traditional Insurance Products sold at prior position. 3. 6/19/2009 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 10% - Sale and service of traditional insurance products. 4. 9/21/2015 - John Boshar Associates, Inc. - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 07/01/2004 - 5 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 1985-05-28 |
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