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43 Constitution Drive, Bedford, NH 03110 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2017-07-05 |
Branch Locations
2231 East Pecos Road Suite 2, Chandler, AZ 85225 • United States
43 Constitution Drive, Bedford, NH 03110 • United States
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-09-19 |
| NH | RA | APPROVED | 2007-07-27 |
Branch Locations
2231 E Pecos Road, Ste 2, Chandler, AZ 85225 • United States
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 | Chandler | AZ | 07/2007 | Present |
| Northeast Planning Associates, Inc. | Chandler | AZ | 07/2017 | Present |
1. 09/17/2007: NO BUSINESS NAME - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - 5% OF TIME SPENT - INS TYPES: LIFE, HEALTH, LTC, GROUP BENEFITS 2. 08/18/2014: NO BUSINESS NAME - NOT INV REL - AT REPORTED BUSINESS LOCATION(S) - NOTARY PUBLIC - START 03/20/2013 - NO TIME SPENT - PROVIDE NOTARY SERVICES 3. 09/04/2014: PAUL H. BROCK MANAGEMENT, P.C. - INV REL - AT REPORTED BUSINESS LOCATION(S) - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - START 08/01/2014 - 10 HR/MO 6 DURING SECS TRDG HRS - SOLE OWNER OF S-CORP 4. 9/4/2014 - Green Desert Holdings, LLC - Not Investment Related - At Reported Business Location(s) - Real Estate Rental - Owner & Manager - Started 08/11/2014 - 1 Hours Per Month During Securities Trading. 5. 09/05/2014: NO BUSINESS NAME - INV REL - AT REPORTED BUSINESS LOCATION(S) - Other - Receiving trail commissions - START 02/16/1987 - NO TIME SPENT - RECEIVE TRAIL INCOMEFOR POLICIES I SOLD PRIOR TO JOINING LPL 6. 1/18/2017 - Paul H. Brock Associates A Family Office - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2017 - 160 Hours Per Month During Securities Trading. 7. 2/22/2019 - PDB Development, Inc - Not Investment Related - Chandler, AZ - Outside/W-2 Employment - Started 08/01/2014 - 10 Hours Per Month/0 Hours During Securities Trading - Provide marketing services to other entities. 8. 06/03/2026 - Turing Technology Associates, Inc. - Not Investment Related - Chandler, AZ - For-Profit Board Member - Started 09/14/2020 - 1 Hour Per Month/ During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-19 |
| S63 | Uniform Securities Agent State Law Examination | 1987-08-15 |
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