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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 |
| CT | RA | APPROVED | 2019-02-26 |
Branch Locations
150 Motor Pkwy, Ste 401, Hauppauge, NY 11788 • 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 |
|---|---|---|---|---|
| People'S Securities, Inc. | Bridgeport | CT | 10/2012 | 05/2018 |
| People's United Advisors, Inc. | Bridgeport | CT | 05/2018 | 02/2019 |
| Lpl Financial Llc | Smithtown | NY | 02/2019 | Present |
| Sterling National Bank | Glen Cove | NY | 06/2019 | 02/2021 |
1. 2/26/2019 - FDM WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/25/2019 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 07/18/2022 - FIS Marketing - Investment Related - Non-Variable Insurance - Agent - Start Date - 07/12/2022 - 5 Hours Per Month/5 Hours During Securities Trading. 3. 09/16/2022 - Fi Logistix - Not Investment Related - Location:https://www.filogistix.com/ - Other - armed guard - filling and emptying ATM machines - Start Date - 08/15/2022 - 36 Hours Per Month/6 Hours During Secutities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 2002-08-28 |
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