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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2024-07-10
MA RA APPROVED 2015-10-05
  • ME RA
    APPROVED
    Since 2024-07-10
  • MA RA
    APPROVED
    Since 2015-10-05

Branch Locations

200 Lowder Brook Dr Ste 2100, Westwood, MA 02090 • United States

Kennebunk, ME • 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
Lpl Financial Llc Waltham MA 08/2015 Present
Bay Financial Advisors Inc Waltham MA 02/2016 Present
  • 08/2015 → Present
    Waltham, MA
  • 02/2016 → Present
    Bay Financial Advisors Inc
    Waltham, MA
Previous Registrations
  • 2016-02-23 → 2021-12-31
    Bay Financial Advisors, Inc.
    Waltham, MA
  • 2010-04-01 → 2014-07-05
    New York, NY
Other Businesses

1. 09/25/2015 - Bay Financial Associates LLC - INV REL - 130 Turner Street Waltham, MA 02454 - DBA for LPL Business (entity for LPL business) - 100% TIME SPENT

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-03-30
S63 Uniform Securities Agent State Law Examination 2001-01-04
  • S65 Uniform Investment Adviser Law Examination
    2010-03-30
  • S63 Uniform Securities Agent State Law Examination
    2001-01-04

View on SEC IAPD

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