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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-12-05 |
| NY | RA | APPROVED | 2021-07-29 |
Branch Locations
1282 Long Pond Rd., Rochester, NY 14626 • United States
Fairport, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M&T Securities, Inc | Fairport | NY | 02/2001 | 07/2021 |
| Lpl Financial Llc | Brockport | NY | 07/2021 | Present |
1) 07/19/2021 - Wilmington Advisors at M&T - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 08/27/2024 - Alliance Advisory Group is an Agency of The Guardian Life Insurance Company of America® (Guardian), New York, NY - Non-Variable Insurance - Insurance agent - Investment Related - At reported Business Location(s) - Start Date 08/09/2024 - 1 HOur Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 1998-06-08 |
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