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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 |
| TX | RA | APPROVED_RES | 2019-04-10 |
Branch Locations
40 Lloyds Lane Rt 211, Middletown, NY 10940-3132 • United States
29 Main St, New Paltz, NY 12561 • United States
11 Marshall Rd Ste 2A, Wappingers Falls, NY 12590 • United States
137 Boardman Rd, Poughkeepsie, NY 12601 • United States
152 Route 6, Mahopac, NY 10541 • United States
87 Brookside Avenue, Chester, NY 10918 • United States
Poughkeepsie, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Wappingers Falls | NY | 06/2006 | Present |
1. 10/3/2019 - Wealth Management at Hudson Valley Credit Union - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading. 2. 3/9/2020 - Hudson Valley Credit Union Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 10/09/2017 - 10 Hours Per Month During Securities Trading - Offering Medicare Advantage Plans, Medicare Supplements, and Prescription Drug Plans.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-04 |
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