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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-03
TX RA APPROVED_RES 2020-07-06
  • NY RA
    APPROVED
    Since 2021-08-03
  • TX RA
    APPROVED_RES
    Since 2020-07-06

Branch Locations

Canandaigua, NY • United States

1 Fishers Road Ste 180, Pittsford, NY 14534-9502 • 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
Lpl Financial, Llc Pittsford NY 11/2015 Present
Other Businesses

(1) 11/30/2015: Grover Financial Services - Investment Related - 1 Fishers Road Ste 180 Pittsford, NY 14534-9502 - DBA for LPL Business (entity for LPL business) - Start 11/30/2015 - Time Spent 100%. (2) 09/16/2016: o'kelly financial services - Investment Related - 1 Fishers Road, Suite 180 Pittsford NY 14534 - DBA for LPL Business (entity for LPL business) - Start 08/24/2016 - 10 Hr/Mo; 10 Hour(s) During Securities Trading - The only services offered through this DBA is approved Financial Advisory Services through LPL jointly with Brendan O'Kelly. (3) 12/8/2016: Brighton Central School Continuing Education - Investment Related - Brighton High School, 1150 Winton Road South, Rochester, NY 14618 - Other-Instructor - Started 01/24/2016 - 8 Hours Per Month/0 Hours During Securities Trading. (4) 12/8/2016: Finger Lakes Community College - Not Investment Related - Finger Lakes Community College, Victor Campus: 200 Victor Heights Parkway, Victor, NY 14564; Canandaigua Campus: 3325 Marvin Sands Drive - Other-Instructor - Start 01/26/2017 - 8 Hours Per Month/0 Hours During Securities Trading. (5) 12/9/2016: Penfield Recreation Department - Not Investment Related - 1985 Baird Road, Penfield, NY 14526 - Other-Instructor - Start 01/25/2017 - 8 Hours Per Month During Securities Trading. (6) 10/25/2017 - JMGFS, Inc. - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 09/29/2017 - 20 Hours Per Month/20 Hours During Securities Trading. (7) 08/27/2021 - No Business Name - Investment Related - Canandaigua, NY 14424 - Real Estate Rental - Start Date: 07/30/2021 - 10 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-13
  • S66 Uniform Combined State Law Examination
    2007-11-13

View on SEC IAPD

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