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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 |
| NJ | RA | APPROVED | 2018-02-14 |
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 |
|---|---|---|---|---|
| Invest Financial Corporation | Latham | NY | 05/2015 | Present |
| Lpl Financial Llc | Latham | NY | 02/2018 | Present |
1. 02/14/2018 - Empire Financial Advisors, Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 02/14/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 06/01/2015 - 10 Hours Per Month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-22 |
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