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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-09-22 |
| NY | RA | APPROVED | 2021-08-03 |
| PA | RA | APPROVED | 2019-04-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Niagara Securities | East Amherst | NY | 02/2004 | 09/2016 |
| Lpl Financial, Llc | East Amherst | NY | 06/2010 | Present |
| Northwest Bank | East Amherst | NY | 09/2016 | Present |
1. 8/8/2012: OhLeo Enterprises LLC - Not Investment Related - Other- Business Owner - Time Spent 1% - Minority member of LLC. This is a start-up, womens high fashion shoe business. I am an investor with my wife as the majority owner. 2. 2/11/2020 - Northwest Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/1/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 3. 5/12/2021 - Northwest Bank - Not Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 5/11/2021 - 5 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-12 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-27 |
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