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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-12-26
  • NY RA
    APPROVED
    Since 2024-12-26

Branch Locations

18 Corporate Woods Blvd Fl 2, Albany, NY 12211 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research, Inc. Fairfield IA 04/2016 10/2020
Lpl Financial, Llc Albany NY 11/2020 Present
  • 04/2016 → 10/2020
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 11/2020 → Present
    Albany, NY
Previous Registrations
Other Businesses

1. 01/01/2015 - PROGRAMMER/CONSULTANT/ SOFTWARE PROGRAMMER/ NOT INVESTMENT RELATED/ 10%/ TROY, NY 2. 11/09/2020 - ROSEMONT FINANCIAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 100%/ ALBANY, NY 3. 10/01/2009 - REAL ESTATE RENTAL/ REAL ESTATE RENTAL/ INVESTMENT RELATED/ 0%/ 190 1ST ST TROY, NY 12180; 30 PAWLING AVE, TROY, NY 12180

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-23
S63 Uniform Securities Agent State Law Examination 2020-11-13
  • S66 Uniform Combined State Law Examination
    2024-12-23
  • S63 Uniform Securities Agent State Law Examination
    2020-11-13

View on SEC IAPD

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