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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 |
| NJ | RA | APPROVED | 2020-11-10 |
| TX | RA | APPROVED_RES | 2020-11-10 |
Branch Locations
18 Corporate Woods Blvd Fl 2, Albany, NY 12211 • United States
137 Delaware St, Walton, NY 13856 • 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 |
|---|---|---|---|---|
| Cambridge Investment Research, Inc. | Fairfield | IA | 09/2015 | 11/2020 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 09/2015 | 11/2020 |
| Lpl Financial, Llc | Albany | NY | 11/2020 | Present |
1. 11/9/2020 - No Business Name - Investment Related - Home Based; 201 E Front St Hancock, NY 13783; and 456 W Front St Hancock, NY 13783 - Real Estate Rental - Owner/Landlord - Started 8/2010 - 5 Hours Per Month/4 Hours During Securities Trading - Time Spent 5%. 2. 11/9/2020 - Rosemont Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 3. 3/25/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/10/2020 - 2 Hours Per Month/0 During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-09-29 |
| S65 | Uniform Investment Adviser Law Examination | 2005-03-24 |
| S63 | Uniform Securities Agent State Law Examination | 2003-02-03 |
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