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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-02-17 |
| NJ | RA | APPROVED | 2009-02-13 |
Branch Locations
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 |
|---|---|---|---|---|
| Lpl Financial | Nutley | NJ | 02/2009 | Present |
1.03/31/2010 - TAX PREP / ACCOUNTING / BOOKKEEPING/TAX PREPERATION. I HAVE READ AND WILL OBLIGE THE COMPLIANCE TAX PREPERATION/ACCOUNTING RESTRICTION DOCUMENT. I DO NOT, AT THIS TIME, PLAN ON CHARGING A FEE FOR THIS SERVICE. AS A CFP I FEEL I AM QUALIFIED IN PROVIDING THIS SERVICE. 5% OF TIME. 2. 10/12/2022 - Essex Wealth Advisory Holdings LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/15/2022 - 160 Hours Per Month/8 Hours During Securities Trading 3. 11/07/2022 - Essex Wealth Advisory, LLC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/12/2022 - 160 Hours Per Month/8 Hours During Securities Trading 4. 11/16/2022 - Essex Wealth Advisory Holdings, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 09/30/2022 - 5 Hours Per Month/5 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-10 |
| S63 | Uniform Securities Agent State Law Examination | 1986-12-16 |
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