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6500 Sheridan Drive, Suite 200, Williamsville, NY 14221 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-30 |
| TX | RA | APPROVED_RES | 2019-10-11 |
Branch Locations
6500 Sheridan Drive, Suite 200, Williamsville, NY 14221 • 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 |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | Williamsville | NY | 01/2001 | 07/2025 |
| Wny Asset Management Llc | Williamsville | NY | 01/2001 | Present |
| Wny Asset Management Llc | Williamsville | NY | 05/2010 | Present |
| Lpl Financial Llc | Williamsville | NY | 07/2025 | Present |
1. 07/10/2025- WNY ASSET MANAGEMENT, LLC- Registered Investment Advisor - INV Related- At Reported Business Location(s)- Start date 01/01/2010- 200 Hours Per Month- 160 Hours During Trading- I provide investment advisory services through WNY Asset Management, an independent investment advisor firm. I started this business activity in 1/2010. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 07/10/22025-WNY Tax Planners- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 01/01/2024 3. 07/10/2025- WNY Asset Management, LLC-DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 01/01/2001 4. 07/10/2025- WNY Asset Management, LLC- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 01/01/2021
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-02 |
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