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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-09 |
Branch Locations
455 Route 306, Wesley Hills, NY 10952 • United States
745 Route 17M, Suite 101, Monroe, NY 10950 • United States
5075 Route 9W, Newburgh, NY 12550 • United States
56 Route 17K, Newburgh, NY 12550 • United States
240 Dolson Avenue, Middletown, NY 10940 • United States
80 North Main Street, Ellenville, NY 12428 • United States
Middletown, NY • 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 |
|---|---|---|---|---|
| Hsbc Securities (Usa) Inc. | Bronx | NY | 05/2014 | 04/2021 |
| Hsbc Bank Usa, N.A. | Bronx | NY | 08/2016 | 04/2021 |
| M&T Securities, Inc. | Monroe | NY | 04/2021 | 06/2021 |
| Lpl Financial, Llc | Middletown | NY | 06/2021 | Present |
1. 06/09/2021 - Wilmington Advisors @ M&T - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 6/7/2021 - NEW YORK BOARD OF EDUCATION/ PORTCHESTER HIGH SCHOOL - Not Investment Related - 1 TAMARACK RD PORT CHESTER NY 10573 - Outside/W-2 Employment - MUSIC INSTRUCTOR - Started 8/12/2019 - 15 Hours Per Month - Time Spent 3%. 3. 03/05/2024 - B.A.D. Cleaning Services LLC - Business Owner - Owner and Business Operator - Not Investment Related - Home Based - Start Date 12/01/2023 - 45 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 2000-08-24 |
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