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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 | 2021-01-28 |
Branch Locations
171 South Broadway, Saratoga Springs, NY 12866 • United States
386 Clifton Park Center Rd, Clifton Park, NY 12065 • United States
238 Main St., Corinth, NY 12822 • United States
3 Carpenter Lane, Saratoga Springs, NY 12866 • United States
91 West Ave, Saratoga Springs, NY 12866 • United States
501 New Karner Rd Aratoga National Bank & Trust, Albany, NY 12205 • United States
120 Hoosick Street, Troy, NY 12180 • United States
1763 Altamont Ave., Rotterdam, NY 12303 • United States
251 State St., Schenectady, NY 12305 • United States
3025 Ny-50, Saratoga Springs, NY 12866 • United States
545 Troy Schenectady Rd., Latham, NY 12110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Glens Falls National/Saratoga National Bank | Saratoga | NY | 06/1997 | Present |
| Uvest Investment Services | Charlotte | NC | 06/2002 | Present |
| Lpl Financial Llc | Saratoga Springs | NY | 07/2011 | Present |
1. 2/27/2014 - Mass Mutual Albany - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent: 5%. 2. 7/9/2012 - Saratoga National Bank & Trust Company - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Time Spent: 10%. 3. 5/10/2012 - Saratoga National Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 4. 06/27/2019 - No business name - Investment related - At reported business location(s) - Notary Public - start date:05/28/2019 - 0 hrs/mo - 0 hrs during trading. 5. 12/27/2024- No Business name- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 01/01/2025-
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2002-06-26 |
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