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368 Broadway First Floor, Albany, NY 12207 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APP_PEND_IARCE | 2026-01-01 |
| NY | RA | APPROVED | 2022-12-22 |
| TX | RA | APPROVED | 2022-12-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | East Greenbush | NY | 03/2005 | Present |
| Sgroi Wealth Management Inc. | East Greenbush | NY | 11/2021 | Present |
| Broadway Advisor Group, Llc | Albany | NY | 12/2022 | Present |
1. 1/22/2014: Sgroi Wealth Management Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 04/13/2022 - 368-370 Broadway LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Start Date - 07/15/2021 - 8 Hours Per Month/ 0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-11-17 |
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