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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-12-11 |
| MA | RA | APPROVED | 2025-04-10 |
| CT | RA | APPROVED | 2023-02-14 |
Branch Locations
1310 Silas Deane Highway, Wethersfield, CT 06109 • United States
225 Asylum St, Hartford, CT 06103 • United States
115 Federal St, Boston, MA 02110 • United States
Amston, 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 |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Hartford | CT | 03/1992 | 02/2023 |
| Charles Schwab Bank | West Hartford | CT | 02/2005 | Present |
| Lpl Financial Llc | Bridgeport | CT | 02/2023 | Present |
| M&T Bank | Bridgeport | CT | 02/2023 | Present |
1) 02/14/2023 - M&T Financial Services - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) 2) 05/26/2023 - Wilmington Advisors @ M&T - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 02/14/2023 - 40 Hours Per Month/ 40 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 1990-05-16 |
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