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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2021-05-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 1986-04-30 |
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