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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 |
| NJ | RA | APPROVED | 2020-11-14 |
| TX | RA | APPROVED | 2020-11-09 |
Branch Locations
18 Corporate Woods Blvd Fl 2, Albany, NY 12211 • United States
18 Corporate Woods Blvd Fl 2, Albany, NY 12211 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • 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 |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 11/2012 | 11/2020 |
| Cambridge Investment Research Advisors, Inc | Fairfield | IA | 11/2012 | 11/2020 |
| Lpl Financial, Llc | Albany | NY | 11/2020 | Present |
1) 2005 - Notary - Steven Novotny - 1% - Albany, NY 12211 2) 2001 - Non-Variable Insurance - Steven Novotny - Investment Related - Investment Related - Albany, NY 12211 3) 05/15/2024 - Rosemont Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/10/2010 - 40 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-11-14 |
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