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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-05-20 |
| CT | RA | APPROVED | 2021-05-07 |
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 Llc | Old Saybrook | CT | 07/2013 | 07/2020 |
| Northstar Wealth Partners Llc | Old Saybrook | CT | 07/2013 | 08/2020 |
| Connecticut Wealth Management, Llc | Farmington | CT | 08/2020 | 03/2021 |
| Purshe Kaplan Sterling Investments | Albany | NY | 11/2020 | 03/2021 |
| Lpl Financial, Llc | Old Saybrook | CT | 04/2021 | Present |
| Connecticut Wealth Management, Llc | Farmington | CT | 08/2020 | 05/2021 |
1. 5/4/2021 - North Cove, LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - Started 7/1/2012 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 5/4/2021 - Delta Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/01/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 3. 5/4/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 7/1/2013 - 1 Hour Per Month - Time Spent 1% - Selling Life/LTC/Term. 4. 5/4/2021 - Charles E Potts 2014 Revocable Trust - Investment Related - Act in a Fiduciary Capacity - Trustee - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - Family trust.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-03-20 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-31 |
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