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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 |
Branch Locations
150 White Plains Rd Ste 109, Tarrytown, NY 10591 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Part Time/ Self Employment | White Plains | NY | 06/2014 | Present |
| Nationalplanning Corporation | Tarrytown | NY | 12/2014 | Present |
| Lpl Financial Llc | Tarrytown | NY | 11/2017 | Present |
1. 11/29/2017 - Agency Sales Support, New York Long Term Care - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 10/1/2014 - 150 Hours Per Month/40 Hours During Securities Trading - Fixed (Life, Disability, LTC) Insurance and Fixed Annuities. 2. 11/29/2017 - Kleinman Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 12/10/14 - 20 Hours Per Month/8 Hours During Securities Trading. 3. 05/20/2019 - No business name - Hampton Inn in Yonkers - Instructor - start date:04/11/2019 - 0 hrs/mo - 0 hrs during trading. 4. 08/31/2021 - Gateway Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 08/25/2021 - 1 Hour Per Month/1 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-08-17 |
| S63 | Uniform Securities Agent State Law Examination | 2003-12-30 |
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