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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 |
Branch Locations
1228 Jefferson Ave, Buffalo, NY 14208 • United States
860 Long Pond Road, Rochester, NY 14612 • United States
475 Plank Road, Webster, NY 14580 • United States
1055 Union Road, West Seneca, NY 14224 • United States
1248 Abbott Rd., Lackawanna, NY 14218 • United States
3858 North Buffalo Road, Orchard Park, NY 14217 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl | North Tonawanda | NY | 09/2015 | 09/2016 |
| First Niagara | North Tonawanda | NY | 09/2015 | 09/2016 |
| Key Investment Services Llc | North Tonawanda | NY | 09/2016 | 09/2016 |
| Lpl Financial, Llc | Buffalo | NY | 10/2016 | Present |
| Northwest Bank | Buffalo | NY | 10/2016 | Present |
1. 2/11/2020 - Northwest Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/1/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 2. 5/12/2021 - Northwest Bank - Not Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 5/11/2021 - 5 Hours Per Month/0 Hours During Securities Trading - Referring to bank partners.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-01-18 |
| S63 | Uniform Securities Agent State Law Examination | 2015-12-02 |
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