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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2024-03-06
  • PA RA
    APPROVED
    Since 2024-03-06

Branch Locations

548 N Lewis Rd, Limerick, PA 19468 • United States

100 Gibraltar Rd, Horsham, PA 19044 • United States

15 North 3Rd St, Quakertown, PA 18951 • 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
Infinex Investments, Inc Meriden CT 03/2016 12/2016
Key Investment Services Llc Plymouth Meeting PA 12/2016 08/2017
M&T Securities, Inc. Pottstown PA 08/2017 09/2018
Infinex Investments, Inc. Meriden CT 10/2018 03/2020
United Bank Somers CT 10/2018 03/2020
Lpl Financial Llc Enfield CT 03/2020 07/2022
Westfield Bank Enfield CT 03/2020 07/2022
Infinex Investments, Inc. Meriden CT 10/2022 08/2023
Mid Penn Bank Malvern PA 10/2022 08/2023
Homemaker(Unemployed) Warminster PA 07/2022 10/2022
Thrive Capital Management, Llc Fort Washington PA 08/2023 02/2024
Lpl Financial Llc Quakertown PA 03/2024 Present
Qnb Bank Quakertown PA 03/2024 Present
  • 03/2016 → 12/2016
    Infinex Investments, Inc
    Meriden, CT
  • 12/2016 → 08/2017
    Plymouth Meeting, PA
  • 08/2017 → 09/2018
    M&T Securities, Inc.
    Pottstown, PA
  • 10/2018 → 03/2020
    Infinex Investments, Inc.
    Meriden, CT
  • 10/2018 → 03/2020
    United Bank
    Somers, CT
  • 03/2020 → 07/2022
    Enfield, CT
  • 03/2020 → 07/2022
    Westfield Bank
    Enfield, CT
  • 10/2022 → 08/2023
    Infinex Investments, Inc.
    Meriden, CT
  • 10/2022 → 08/2023
    Mid Penn Bank
    Malvern, PA
  • 07/2022 → 10/2022
    Homemaker(Unemployed)
    Warminster, PA
  • 08/2023 → 02/2024
    Fort Washington, PA
  • 03/2024 → Present
    Quakertown, PA
  • 03/2024 → Present
    Qnb Bank
    Quakertown, PA
Previous Registrations
  • 2023-08-22 → 2024-02-28
    Fort Washington, PA
  • 2022-10-31 → 2023-08-07
    Malvern, PA
  • 2020-03-20 → 2022-07-18
    Granby, CT
    Bloomfield, CT
    Springfield, MA
    East Longmeadow, MA
    Enfield, CT
    Agawam, MA
    Feeding Hills, MA
    Westfield, MA
    Westfield, MA
    Chicopee, MA
    South Hadley, MA
    Chicopee, MA
    Westfield, MA
    Ludlow, MA
    West Springfield, MA
    Westfield, MA
    Southwick, MA
    West Springfield, MA
    Ludlow, MA
    Chicopee, MA
    Springfield, MA
    Huntington, MA
    Ware, MA
    Enfield, CT
    Farmington, CT
    West Hartford, CT
    Enfield, CT
    Granby, CT
    West Hartford, CT
  • 2018-10-02 → 2020-03-23
    South Windsor, CT
    Somers, CT
  • 2017-09-06 → 2018-10-17
    M&T Securities, Inc.
    York, PA
    Pottstown, PA
    Birdsboro, PA
    Boyertown, PA
    Reading, PA
  • 2016-12-12 → 2017-08-14
    Exton, PA
    Plymouth Meeting, PA
  • 2016-03-28 → 2016-12-09
    Wyomissing, PA
  • 2012-02-13 → 2016-04-22
    Trexlertown, PA
    Gilbertsville, PA
    Fort Mill, SC
    Pottstown, PA
    Macungie, PA
    Whitehall, PA
    Fogelsville, PA
    Mertztown, PA
    Red Hill, PA
    Emmaus, PA
    Sellersville, PA
    Emmaus, PA
    Quakertown, PA
    Quakertown, PA
Other Businesses

1- 03/06/2024 - QNB Financial Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-02-10
S63 Uniform Securities Agent State Law Examination 2000-02-15
  • S65 Uniform Investment Adviser Law Examination
    2012-02-10
  • S63 Uniform Securities Agent State Law Examination
    2000-02-15

View on SEC IAPD

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