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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2021-05-05
  • MA RA
    APPROVED
    Since 2021-05-05

Branch Locations

One Salem Green, Salem, MA 01970 • 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
Dws Investments Distributors Inc New York NY 12/2009 03/2018
Santander Bank, Na Boston MA 05/2018 07/2019
Santander Securities, Llc Dorchester MA 05/2018 07/2019
Infinex Investments, Inc. Marstons Mills MA 07/2019 04/2021
Cooperative Bank Of Cape Cod Marston Mills MA 07/2019 04/2021
Salem Five Cent Savings Bank Salem MA 04/2021 Present
Lpl Financial Llc Salem MA 04/2021 Present
  • 12/2009 → 03/2018
    Dws Investments Distributors Inc
    New York, NY
  • 05/2018 → 07/2019
    Santander Bank, Na
    Boston, MA
  • 05/2018 → 07/2019
    Dorchester, MA
  • 07/2019 → 04/2021
    Infinex Investments, Inc.
    Marstons Mills, MA
  • 07/2019 → 04/2021
    Cooperative Bank Of Cape Cod
    Marston Mills, MA
  • 04/2021 → Present
    Salem Five Cent Savings Bank
    Salem, MA
  • 04/2021 → Present
    Salem, MA
Previous Registrations
  • 2019-07-16 → 2021-04-19
    Marstons Mills, MA
  • 2018-06-13 → 2019-07-09
    Pocasset, MA
    Plymouth, MA
    Oak Bluffs, MA
    East Wareham, MA
    South Sandwich, MA
    Framingham, MA
    Framingham, MA
    Edgartown, MA
Other Businesses

1) 4/2021- Salem Five Investment Services, LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)-100% 2) 10/12/2021 - Salem Five Wealth Management & Trust - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 04/26/2021 - 80 Hours Per Month/4 Hours During Securities Trading. 3) 05/29/2024 - Salem Five Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/22/2024 - 160 Hours Per Month/ 6 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-05
S63 Uniform Securities Agent State Law Examination 1986-04-30
  • S66 Uniform Combined State Law Examination
    2018-06-05
  • S63 Uniform Securities Agent State Law Examination
    1986-04-30
Other Names
  • Brian Temple Tuttle

View on SEC IAPD

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