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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-10 |
| TX | RA | APPROVED_RES | 2025-07-10 |
Branch Locations
6 Automation Lane Suite 108, Albany, NY 12205 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | Albany | NY | 07/2008 | 07/2025 |
| Pombo Wealth Management | Albany | NY | 08/2008 | Present |
| Lpl Financial Llc | Albany | NY | 07/2025 | Present |
1. 07/10/2025- Pombo Family Holdings Co., LLC- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)- Start date 12/01/2016 2. 07/10/2025- Pombo Wealth Management- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 12/01/2016- 4 Hours Per Month- 4 Hours During Trading 3. 07/10/2025- Pombo Insurance Services-Property and Casualty- INV Related- At Reported Business Location(s)- Start date 08/01/2008- 4 Hours Per Month- 4 Hours During Trading 4. 07/10/2025- Richard Pombo-Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 04/23/2001- 1 Hour Per Month- 1 Hour During Trading 5. 10/06/2025 - Richard Pombo - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 08/01/2008 - 4 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2001-01-23 |
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