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Marco Antonio Rosales

LPl Enterprise, LLC

Shelton, CT

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-12-23
  • CT RA
    APPROVED
    Since 2024-12-23

Branch Locations

1 Corporate Drive Suite 205, Shelton, CT 06484 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities Llc Shelton CT 06/2023 08/2023
Custom Millwork And Design Group, Inc. Bantam CT 08/2022 03/2023
Santander Bank, N.A. Southington CT 01/2021 09/2021
Brinks, Inc. New Britain CT 05/2020 10/2020
Central Connecticut State University New Britain CT 08/2018 12/2022
Massmutual Life Insurance Co Shelton CT 05/2024 12/2024
Mml Investors Services, Llc Shelton CT 06/2024 12/2024
Hometown Pizza Thomaston CT 09/2023 05/2024
Unemployed Waterbury CT 05/2014 07/2018
Prudential Financial Shelton CT 03/2023 08/2023
Lpl Enterprise Fort Mill SC 12/2024 Present
  • 06/2023 → 08/2023
    Pruco Securities Llc
    Shelton, CT
  • 08/2022 → 03/2023
    Custom Millwork And Design Group, Inc.
    Bantam, CT
  • 01/2021 → 09/2021
    Santander Bank, N.A.
    Southington, CT
  • 05/2020 → 10/2020
    Brinks, Inc.
    New Britain, CT
  • 08/2018 → 12/2022
    Central Connecticut State University
    New Britain, CT
  • 05/2024 → 12/2024
    Massmutual Life Insurance Co
    Shelton, CT
  • 06/2024 → 12/2024
    Mml Investors Services, Llc
    Shelton, CT
  • 09/2023 → 05/2024
    Hometown Pizza
    Thomaston, CT
  • 05/2014 → 07/2018
    Unemployed
    Waterbury, CT
  • 03/2023 → 08/2023
    Prudential Financial
    Shelton, CT
  • 12/2024 → Present
    Lpl Enterprise
    Fort Mill, SC
Other Businesses

1- 12/2024 / Health Insurance / Non-Variable Insurance / Inv Rltd / 8 hrs mnth / 4 hrs during trading / start 10/31/2024

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-10-09
S63 Uniform Securities Agent State Law Examination 2024-07-19
  • S65 Uniform Investment Adviser Law Examination
    2024-10-09
  • S63 Uniform Securities Agent State Law Examination
    2024-07-19
Other Names
  • Marco Rosales

View on SEC IAPD

Other Firms

MML INVESTORS SERVICES, LLC
RB CAPITAL MANAGEMENT, LLC
WRIGHT INVESTORS SERVICE INC
THE WINTHROP CORPORATION
WRIGHT PRIVATE ASSET MANAGEMENT LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
PROCYON

Other Investors

JOSEPH JOHN TODICE
CHARLES MELFORD HITE
JOHN MEAD FOREMAN
ANDREW DOMINICK ROSELLI
DANIELA GERHARD
JEREMY HUS
CHRISTOPHER HOLLEY
BRIAN MICHAEL WARD

Other Offices

MML INVESTORS SERVICES, LLC · SHELTON, CT
RB CAPITAL MANAGEMENT, LLC · Shelton, CT
WRIGHT INVESTORS SERVICE INC · SHELTON, CT
THE WINTHROP CORPORATION · SHELTON, CT
WRIGHT PRIVATE ASSET MANAGEMENT LLC · SHELTON, CT
AMERIPRISE FINANCIAL SERVICES, LLC · SHELTON, CT
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · SHELTON, CT
AMERIPRISE FINANCIAL SERVICES, LLC · Shelton, CT

More in Shelton, CT

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