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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 |
| TX | RA | APPROVED_RES | 2020-10-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Albany | NY | 07/2011 | Present |
1. 07/28/2011: No Business Name - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Time Spent 10% - Tax Prep Jan-April. 2. 07/28/2011: Empire Financial Associates, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 9/30/2015: 1832 Western Avenue LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Started 09/25/2015 - 5 Hours Per Month/0 During Securities Trading - Property Holding Company. 4. 1/24/2017: Pure Cleaning Services LLC - Not Investment Related - 6 Schuster Rd, Schenectady NY 12303 - Other-Business Owner - Co-Owner - Start 01/25/2017 - 2 Hours Per Month/0 Hours During Securities Trading. 5. 12/24/2019 - Zeitler & Zeitler CPA's - Investment Related - 1832 Western Ave Albany NY 12203 - Real Estate Rental - Start Date: 01/01/2020 - 1 Hour Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 2000-04-22 |
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