Steven Allyn Massey

Current Employers

Lpl Financial Llc

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	2021-05-05

NY RA
APPROVED

Since 2021-08-03
TX RA
APPROVED_RES

Since 2021-05-05

Branch Locations

4 Winners Circle, Albany, NY 12205 • United States

Troy, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Latham	NY	12/2002	Present
Cap Com Financial Services, Llc	Latham	NY	07/2004	03/2023
Broadview Federal Credit Union	Albany	NY	04/2023	Present

12/2002 → Present

Lpl Financial Llc

Latham, NY
07/2004 → 03/2023

Cap Com Financial Services, Llc

Latham, NY
04/2023 → Present

Broadview Federal Credit Union

Albany, NY

Other Businesses

(1) 12/12/2002 - NON-VARIABLE INSURANCE - ALBANY, NY (2) 12/12/2002 - REGISTERED INVESTMENT ADVISOR - CAP COM FINANCIAL SERVICES, LLC. - ALBANY, NY (3) 02/15/2007 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - CAP COM INVESTMENT SERVICES - ALBANY, NY (4) 2/28/2023 - Broadview Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/31/2023

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-08-16

S66 Uniform Combined State Law Examination

2000-08-16

Other Names

Steven A Massey

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

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