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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 | 2020-10-07 |
Branch Locations
3010 Westchester Ave Ste 200, Purchase, NY 10577 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Securities (Usa) Inc. | Yonkers | NY | 04/2013 | 10/2020 |
| Hsbc Bank Usa, N.A. | Yonkers | NY | 08/2016 | 10/2020 |
| Lpl Financial Llc | Purchase | NY | 10/2020 | Present |
1)08/25/2020 - KM Capital Group Inc - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 07/2014 - 160 hr/mth 2)08/25/2020 - KM Capital - Non-Variable Insurance - inv rel - at reported business location(s) - start: 01/2020 - 16 hr/mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-19 |
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