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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2020-05-23 |
Branch Locations
263 Tresser Blvd. First Floor, Stamford, CT 06901 • United States
Danbury, CT • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Yorktown Heights | NY | 06/2010 | 04/2020 |
| Lpl Financial, Llc | Danbury | CT | 04/2020 | Present |
1. 5/8/2020 - American Strategic Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 05/11/2020. 2. 01/13/2023 - United Healthcare - Investment Related - Home Based - Non-Variable Insurance - Start Date - 12/02/2022 - 8 Hours Per Month/0 Hours During Securities Trading 3. 08/23/2023 - Other - List approved Ebook 9 Simple Steps To Help - Not Investment Related - Home Based - Start Date 08/07/2023 - 5 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1986-04-14 |
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