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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-11-14 |
| TX | RA | APPROVED_RES | 2024-11-14 |
Branch Locations
106 N. Main Street Suite C, Horseheads, NY 14845 • United States
950 Danby Road Suite 100F, Ithaca, NY 14850 • United States
23 Main Street Suite 313, Cortland, NY 13045 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Insurance Company Of America | Ithaca | NY | 08/1988 | Present |
| Pruco Securities, Llc. | Ithaca | NY | 08/1988 | 11/2024 |
| Lpl Enterprise, Llc | Ithaca | NY | 11/2024 | Present |
1) 09/04/2024- Talcott Resolution-Non-Variable Insurance-Servicing existing annuity contracts for clients who have an annuity through Talcott. Service only.- INV Related- At Ithaca, NY- Start 08/16/2024- 1 HRS MTH- 1 HRS During Trading 2) 09/04/2024- National Life Insurance Company- Non-Variable Insurance- Sell and service fixed annuity contracts outside the normal platform for some situations.- INV Related- At Ithaca, NY- Start 12/15/2023- 1 HRS MTH- 1 HRS During Trading 3) 09/04/2024-Barbara Sypher- Act in a Fiduciary Capacity- Not INV Related- At Ithaca, NY- Start date 08/02/2007-5 HRS MTH- 4 HRS During Trading 4) 09/04/2024- Grace Christian Fellowship- Non-Profit Board Member- Serve as a board member on this non profit.- Not INV Related- At Ithaca, NY- Start date 01/01/2022-5 HRS MTH- 1 HRS During Trading 5) 09/04/2024- First Symetra National Life Insurance Company of NY through NestEgg Builders brokerage- Non-Variable Insurance- Providing fixed annuity contracts that might otherwise not be available on the platform- INV Related- At Ithaca, NY- Start date 08/08/2022- 1 HRS MTH- 1 HRS During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 1988-07-25 |
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