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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-03-06 |
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
52 South Broad Street, Norwich, NY 13815 • United States
Plattsburgh, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Plattsburgh | NY | 08/2016 | Present |
| Nbt Financial Services | Plattsburgh | NY | 08/2016 | Present |
1) 2016-10-06 - NBT Insurance Agency, LLC - Non-Variable Insurance - Y - at reported business location(s) - 2016-10-05 - 5hrs/mth - 5hrs/mth during trading 2) 2018-11-06 - Clinton County Notary Public - notary - N - at reported business location(s) - 2018-11-02 - 1hrs/mth - 1hrs/mth during trading 3) 2019-05-02 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - NBT INVESTMENT SERVICES - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2019-05-02 - hrs/mth - hrs/mth during trading 4) 2026-05-07 - NBT Wealth Management - Outside/W-2 Employment - Y - Norwich NY - 2026-04-20 - 160hrs/mth - 140hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2009-06-22 |
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