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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-03
TX RA APPROVED 2019-09-03
NJ RA APPROVED 2016-02-02
  • NY RA
    APPROVED
    Since 2021-08-03
  • TX RA
    APPROVED
    Since 2019-09-03
  • NJ RA
    APPROVED
    Since 2016-02-02

Branch Locations

10 Kendall Way, Malta, NY 12020 • United States

426 State Street, Schenectady, NY 12305 • United States

843 Route 146, Clifton Park, NY 12065 • United States

652 Albany Shaker Road, Albany, NY 12211 • United States

1208 Route 146, Clifton Park, NY 12065 • United States

1828 Altamont Avenue, Schenectady, NY 12303 • United States

739 Upper Glen St, Queensbury, NY 12804 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Pioneer Bank (Formerly: Pioneer Savings Bank) Albany NY 01/2015 Present
Lpl Financial, Llc Albany NY 02/2016 Present
  • 01/2015 → Present
    Pioneer Bank (Formerly: Pioneer Savings Bank)
    Albany, NY
  • 02/2016 → Present
    Albany, NY
Previous Registrations
Other Businesses

1. 02/02/2016-10 New Kent Rd/Real Estate Rental/1. This is a single family home rental property. I am joint owner with my wife Melissa Lindner. 2. 10 New Kent Rd. Gansevoort, NY 12831/1%/10 New Kent Rd, Gansevoort, NY 12831 2. 02/02/2016-10-Sharp Delaney Hunting Club/Hunting Club/1. this is a hunting club, structred as a not for profit organization. The organiation collects dues from its members and uses the dues to pay property taxes and maintenance on the property. 2. I am 1/6th owner. 3. no 4. No one is employed by the hunting club 5. ther is no office. 3. 04/04/2016; Pioneer Wealth Management; DBA for LPL Business (entity for LPL business); INV REL; AT REPORTED BUSINESS LOCATION(S); START DATE 02/03/2016; 180 HRS/MO; 160 HRS DURING SECS TRADING HRS. 4. 8/16/2019 - No Business Name - Investment Related - 5 Lenca Ct., Wilton, NY 12831 - Real Estate Rental - Start Date: 07/26/2019 - 2 Hours Per Month/0 Hours During Securities Trading - Renting out primary residence part time. 5. 5/5/2021 - 117 Mulligan, LLC - Investment Related - Richfield Springs, NY 13439 - Real Estate Rental - Start Date: 5/1/2021 - 2 Hours Per Month/0 Hours During Securities Trading - LLC rents the farm land out to a local farmer.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-05-13
  • S63 Uniform Securities Agent State Law Examination
    2004-05-13
Designations

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