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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 |
| TX | RA | APPROVED_RES | 2018-06-13 |
Branch Locations
3 Lear Jet Ln Stes 200N & 201N, Latham, NY 12110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Latham | NY | 09/2011 | Present |
1. 5/13/2016 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Started 06/01/2015 - 1 Hours Per Month During Securities Trading - Notarize documents when necessary - NYS Notary. 2. 6/12/2018 - Empire Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/04/2018 - 160 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-07-30 |
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