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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
250 S Clinton St Ste 110, Syracuse, NY 13202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates Inc | Utica | NY | 10/2000 | 05/2020 |
| Paradigm Consulting, Inc. | Utica | NY | 08/2007 | 05/2020 |
| D'ARcangelo Financial Group, Llc | Utica | NY | 02/2009 | 05/2020 |
| Community Bank | Syracuse | NY | 05/2020 | Present |
| Lpl Financial Llc | Syracuse | NY | 05/2020 | Present |
1. 5/1/2020 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Community Investment Services, Inc. - Investment Related - At Reported Business Location(s) - Time Spent 100%. 2. 6/1/2020 - Community Investment Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 05/05/2020 - 5 Hours Per Month/2 Hours During Securities Trading - Fixed Annuities, Term and Whole Life. 3. 10/30/2020 - The Carta Group - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 05/05/2020 - 5 Hours Per Month/2 Hours During Securities Trading. 4. 04/04/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Nottingham Investment Services, Inc. - Investment Related - Started Date; 3/31/2025 - 0 Hrs/Mth - 0 Hrs During Trading. 5. 02/05/2026 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Carta Wealth Planning - Investment Related - At Reported Business Location(s) - Start Date 01/26/2026 - 40 hours per month/ during trading 6. 02/06/2026 - KAFL, INC - Non-Variable Insurance - Wealth Advisor - Investment Related - At Reported Business Location(s) - Start Date 01/26/2026 - 2 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-07 |
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