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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 | 2019-10-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Pittsford | NY | 09/2005 | 09/2019 |
| Lpl Financial, Llc | Pittsford | NY | 10/2019 | Present |
1. 10/24/2019 - CANAL VIEW FINANCIAL ADVISORS - 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. 1/20/2021 - Cavalier Associates - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/19/2021 - 4 Hours Per Month/1 Hour During Securities Trading. 3. 8/12/2021 - Specific Solutions Group, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/10/2021 - 4 Hours Per Month/1 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-05-05 |
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