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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-02-08 |
| CT | RA | APPROVED | 2023-02-07 |
Branch Locations
4 Franklin Square, Ste B, Saratoga Springs, NY 12866 • United States
225 Oakland Rd, Suite 101, South Windsor, CT 06074 • 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 |
|---|---|---|---|---|
| Beacon Financial Group, Inc. | South Windsor | CT | 10/1994 | Present |
| National Planning Corporation | Monroe | CT | 03/2006 | 10/2017 |
| Securities America Inc. | South Windsor | CT | 10/2017 | Present |
| Securities America Advisors | South Windsor | CT | 10/2017 | Present |
| Lpl Financial Llc | South Windsor | CT | 02/2023 | Present |
1) 01/23/2023 - Proeast Asset Management - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 01/23/2023 - Modern Insurance Solutions, LLC - Business Owner - Trumbull, CT 06611 - Non investment related - Start date: 01/01/2017. 3) 01/23/2023 - Beacon 401K Advisors, LLC - Business owner - Trumbull, CT 06611 - Non investment related - Start date: 01/01/2013. 4) 01/23/2023 - Proeast Asset Management - Non-Variable Insurance - Selling: Life, LTC, and disability, merit insurance, professional investors Life and Annuity - trumbull, CT 06611 - Investment related - Start date: 01/01/2017. 5) 02/01/2023 - Proeast Asset Management - Investment Related - Home Based - Non-Variable Insurance - Start Date: 01/01/2017 - 0 Hours Per Month/0 Hours During Securities Trading - Time Spent 0%.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 1986-04-10 |
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