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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 | 2019-09-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | New York | NY | 01/2013 | 08/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 05/2012 | 08/2019 |
| Lpl Finanical Llc | Poughkeepsie | NY | 08/2019 | Present |
1. 8/29/2019 - Mollica Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/29/2019 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 9/18/2023: GJ3 Properties LLC; Poughkeepsie, NY; Real Estate Rental; Inv. related; start date 8/30/2023; 4hrs/mo.; 2hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-03-21 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-30 |
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