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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| TX | RA | APPROVED_RES | 2018-03-22 |
| CA | RA | APPROVED | 2018-02-14 |
Branch Locations
3 Lear Jet Ln Stes 200N & 201N, Latham, NY 12110 • United States
Glenmont, NY • 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 |
|---|---|---|---|---|
| Invest Financial Corporation | Tampa | FL | 04/2014 | 02/2018 |
| Lpl Financial Llc | Latham | NY | 02/2018 | Present |
1. 02/14/2018 - Empire Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 03/26/2014. 2. 02/14/2018 - No Business Name - Not Investment Related - Albany, NY - Real Estate Rental - Owner. 3. 02/14/2018 - No Business Name - Not Investment Related - Albany, NY - Real Estate Rental - Owner. 4. 02/14/2018 - Empire Financial Advisors - Investment Related - At Reported Business Location(s) - Non-Variable Insurance. 5. 6/29/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Start Date: 09/28/2017 - 1 Hour Per Month/1 Hour During Securities Trading. 6. 11/13/2019 - United Advisors Network - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/18/2019 - 8 Hours Per Month During Securities Trading. 7. 4/30/2020 - SoLev, Inc. - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 04/10/2020 - 6 Hours Per Month/2 Hours During Securities Trading - Created a corporation that will purchase land for use as a solar farm. 8. 5/10/2021 - EFS Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 4/28/2021 - 6 Hours Per Month/3 Hours During Securities Trading. 9. 12/13/2023 - No Business Name - Non-Inv Related - At Reported Business Location(s) - Other - Using a corporate eBay account to sell office supplies that we no longer need due to our office reorganization - Started: 11/27/2023 - 3 Hrs/Mo; 0 Hr During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 1987-11-03 |
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