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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2007-07-27
  • NH RA
    APPROVED
    Since 2007-07-27

Branch Locations

202 Main St Ste 202, Salem, NH 03079 • United States

Northeast Planning Associates, Inc.

43 Constitution Drive, Bedford, NH 03110 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2004-07-23
  • NH RA
    APPROVED
    Since 2004-07-23

Branch Locations

43 Constitution Drive, Bedford, NH 03110 • United States

202 Main Street Unit 202, Salem, NH 03079 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
State Mutual Life Assurance Company Manchester NH 07/1986 Present
Northeast Planning Associates, Inc. Salem NH 11/2003 Present
Lpl Financial, Llc Salem NH 07/2007 Present
Previous Registrations
  • 2004-01-15 → 2004-09-28
    Mutual Service Corporation
    Salem, NH
    Salem, NH
  • 1998-07-17 → 2003-11-14
    Veravest Investment Advisors, Inc.
    Bedford, NH
Other Businesses

(1) 07/16/2007: Northeast Planning Associates Inc - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 08/30/2016: Northeast Planning Associates, Inc. - Registered Investment Advisor Hybrid - DBA: Northeast Planning Associates, Inc.- Investment Related - At Reported Business Location(s) - 5% Time Spent - I provide financial planning and consulting services through Northeast Planning Associates, an independent investment advisor firm I started this business activity in November 2003. I expect to spend approximately 8 hours per month] on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. (3) 2/14/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 06/01/2007 - 5 Hours Per Month/5 Hours During Securities Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-11-29
  • S63 Uniform Securities Agent State Law Examination
    1990-11-29

View on SEC IAPD

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