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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-10-19 |
| TX | RA | APPROVED_RES | 2023-10-19 |
Branch Locations
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 |
|---|---|---|---|---|
| General Tax And Financial Services | Hopewell Junction | NY | 09/2009 | 10/2017 |
| National Planning Corporation | Puoghkeepsie | NY | 07/2013 | 11/2017 |
| Securities America,Inc. | Poughkeepise | NY | 11/2017 | 10/2023 |
| Securities America Advisors | Poughkeepise | NY | 11/2017 | 10/2023 |
| Lpl Financial Llc | Poughkeepsie | NY | 10/2023 | Present |
1) 08/07/2023 - Oak Tree Financial Advisors LLC - Tax Prep/Accounting/CPA - Tax prep - Tax accountant - CT 06824 - Investment related - 50 Hours per month - Start date: 10/31/2018. 2) 08/07/2023 - Oak Tree Financial Group - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 3) 08/07/2023 - Oak Tree Financial Group - Tax Prep/Accounting/CPA - CT 06824 - tax prep - Accountant - CT 06824 - Investment related - 50 Hours per month - Start date: 10/31/2018. 4) 08/07/2023 - Oak Tree Advisors Group LLC - Tax Prep/Accounting/CPA - Tax prep - Accountant - NY 12601 - Investment related - 20 Hours per month - Start date: 9/13/2017.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-06-02 |
| S65 | Uniform Investment Adviser Law Examination | 1999-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-15 |
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