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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-07-31 |
| NY | RA | APPROVED | 2021-08-03 |
| NJ | RA | APPROVED | 2019-08-01 |
Branch Locations
3 Lear Jet Ln Stes 200N & 201N, Latham, NY 12110 • United States
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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Albany | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Albany | NY | 11/2016 | 08/2019 |
| Lpl Financial Llc | Latham | NY | 08/2019 | Present |
1)8/1/2019 - Empire Financial Advisors- DBA for LPL Business (entity for LPL business)- Inv. Related- Latham, NY- 100%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-04 |
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