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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-10-12 |
| TX | RA | APPROVED | 2023-10-12 |
Branch Locations
6400 Sheridan Dr Ste 206, Williamsville, NY 14221 • United States
6400 Sheridan Drive, Ste 134, Amherst, NY 14221 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank Usa, National Association | New York | NY | 12/2016 | 02/2019 |
| Hsbc Securities (Usa) Inc. | New York | NY | 12/2016 | 02/2019 |
| Hennion And Walsh | Parsippany | NJ | 06/2015 | 10/2016 |
| Wells Fargo Clearing Services Llc | Orchard Park | NY | 04/2019 | 10/2022 |
| Janney Montgomery Scott Llc | Williamsville | NY | 10/2022 | 10/2023 |
| Lpl Financial Llc | Amherst | NY | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-02 |
| S65 | Uniform Investment Adviser Law Examination | 2002-08-23 |
| S63 | Uniform Securities Agent State Law Examination | 2002-08-19 |
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