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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-09-09 |
| PA | RA | APPROVED | 2019-04-09 |
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 |
|---|---|---|---|---|
| First Niagra Bank | North Tonawanda | NY | 09/1997 | 09/2016 |
| Lpl Financial, Llc | Kenmore | NY | 06/2010 | Present |
| Northwest Bank | Kenmore | NY | 09/2016 | Present |
1. 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. 2. 4/24/2020 - Butterflies and Bucks - Not Investment Related - Home Based - Reps Business - Managing Partner - Start Date: 04/29/2020 - 20 Hours Per Month/0 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 - Referring to bank partners. 4. 02/20/2025 - Real Estate Rental - Investment Related - Silver Creek, NY - Start Date 01/01/2025 - 3 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-25 |
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