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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2024-06-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Windyvale Farm | Montpelier | VT | 01/2001 | Present |
| Windyvale Farm Trucking | Montpelier | VT | 01/2014 | Present |
| Bankers Life & Casualty | South Burlington | VT | 12/2013 | 03/2021 |
| Bankers Life Securities Inc | South Berlington | VT | 09/2017 | 03/2021 |
| Lincoln Investment | Fort Washington | PA | 04/2021 | 06/2024 |
| Capital Analysts | Fort Washington | PA | 04/2021 | 06/2024 |
| Lpl Financial Llc | Montpelier | VT | 06/2024 | Present |
1) 06/24/2024 - Brazier Farm - Lease Crop Land, Logging - VT 05602 - Investment related - Start date: 10/01/1998. 2) 06/24/2024 - East Montpelier Fire and Ambulance - FifreFighter and CMS Provider - VT 05651 - Non investment related - Start date: 11/01/1973. 3) 06/24/2024 - Thomas Brazier Real Estate Rental - Real Estate Rental - Owner - VT 05602-9407 - Investment related - Start date: 01/24/2024. 4) 06/24/2024 - Windyvale Farm Trucking - Business Owner - Hauling Feed or gravel - Owner Operator - Custom Hauling for a Dairy Farm - Vt 05602 - Non investment related - Start date: 01/01/2014. 5) 06/24/2024 - Windyvale Farm - Grow Sweet Corn - VT 05602 - Non investment related - Start date: 01/01/2001. 6) 06/24/2024 - Windyvale Retirement Solutions - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 7) 06/24/2024 - Thomas Brazier NVI - Non-Variable Insurance - Level Four - Investment related - 160 Hours per month - Start date: 03/16/2021.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-17 |
| S63 | Uniform Securities Agent State Law Examination | 2017-12-22 |
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