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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-04-29 |
| RI | RA | APPROVED | 1997-02-25 |
Branch Locations
850 Aquidneck Ave, Suite A4, Middletown, RI 02842 • United States
Middletown, RI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Middletown | RI | 01/1997 | Present |
1. 1/29/2007: No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 5% - OCCASIONAL SALE AND COMMISSION FOR FIXED INSURANCE PRODUCTS. LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES. 2. 12/17/2012: FINN WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 02/23/2017 - Finn & Meehan Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Financial Advise, Investment Advice 4. 02/06/2026 - Finn Wealth Management - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2007 - 120 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-07 |
| S63 | Uniform Securities Agent State Law Examination | 1986-08-29 |
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