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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-28 |
Branch Locations
925 State Fair Boulevard, Syracuse, NY 13209 • United States
35 Oswego Street, Baldwinsville, NY 13027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Services Llc | St.CLoud | MN | 05/2016 | 05/2021 |
| Cetera Investment Advisers Llc | Baldwinsville | NY | 05/2016 | 04/2021 |
| Seneca Federal Savings & Loan Association | Baldwinsville | NY | 05/2016 | Present |
| Lpl Financial, Llc | Baldwinsville | NY | 05/2021 | Present |
1. 5/28/2021 - Financial Quest - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 5/28/2021 - SENECA SAVINGS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 3/28/2016 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 3. 10/17/2023 - FINANCIAL QUEST RETIREMENT PLAN SERVICES - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/11/2023 - 40 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 2005-02-18 |
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