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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2026-05-29
NY RA APPROVED 2021-08-17
CA RA APPROVED 2021-06-09
MD RA APPROVED 2021-06-09
TX RA APPROVED 2021-06-09
VT RA APPROVED 2021-06-09
VA RA APPROVED 2021-06-09
  • PA RA
    APPROVED
    Since 2026-05-29
  • NY RA
    APPROVED
    Since 2021-08-17
  • CA RA
    APPROVED
    Since 2021-06-09
  • MD RA
    APPROVED
    Since 2021-06-09
  • TX RA
    APPROVED
    Since 2021-06-09
  • VT RA
    APPROVED
    Since 2021-06-09
  • VA RA
    APPROVED
    Since 2021-06-09

Branch Locations

300 Saw Mill River Rd, Elmsford, NY 10523 • United States

3031 E. Main Street, Mohegan Lake, NY 10547 • United States

228 South Main Street, New City, NY 14085 • United States

135 Main Street, Nyack, NY 10960 • United States

246 South Highland Ave., Ossining, NY 10562 • United States

770 Chestnut Ridge Road, Chestnut Ridge, NY 10977 • United States

66 Route 59, Monsey, NY 10952 • United States

4435 Pottsville Pike, Reading, PA 19605 • United States

1966 Greenspring Drive #405, Timonium, MD 21093 • United States

Parkton, MD • 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
M&T Securities Pikesville MD 08/2008 Present
Lpl Financial Llc Buffalo NY 06/2021 Present
Lpl Financial Llc San Diego CA 06/2021 Present
Previous Registrations
  • 2008-08-11 → 2021-06-09
    M&T Securities, Inc.
    Baltimore, MD
    Baltimore, MD
    Buffalo, NY
  • 2007-09-17 → 2008-08-11
    Reisterstown, MD
  • 1999-01-01 → 2007-09-17
    Mercantile Brokerage Services, Inc.
    Reisterstown, MD
    Baltimore, MD
    Baltimore, MD
Other Businesses

1) 11/28/2023 - Wilmington Advisors @ M&T - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 6/14/2021 - 160 Hrs/Mo During Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2006-02-27
S65 Uniform Investment Adviser Law Examination 1998-11-19
  • S63 Uniform Securities Agent State Law Examination
    2006-02-27
  • S65 Uniform Investment Adviser Law Examination
    1998-11-19

View on SEC IAPD

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