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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 | 2019-10-21 |
Branch Locations
4 Winners Circle, Albany, NY 12205 • United States
East Greenbush, NY • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Heartland Payment Systems | East Greenbush | NY | 07/2016 | 01/2017 |
| Morgan Stanley | Albany | NY | 05/2017 | 02/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 06/2017 | 02/2019 |
| Unemployed | East Greenbush | NY | 01/2017 | 05/2017 |
| Lpl Financial Llc | Albany | NY | 02/2019 | Present |
| Broadview Federal Cu | Albany | NY | 02/2019 | Present |
1) 2/28/2023 - Broadview Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/31/2023
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-04-28 |
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