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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
18 Corporate Woods Blvd Fl 2, Albany, NY 12211 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc. | Fairfield | IA | 08/2016 | 11/2020 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 08/2016 | 11/2020 |
| Lpl Financial, Llc | Albany | NY | 11/2020 | Present |
1. 11/9/2020 - ROSEMONT FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 04/19/2023 - No Business Name - Investment Related - Bolton Landing, NY 12814 - Real Estate Rental - Start Date 06/01/2022 - 1 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2004-07-08 |
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