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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 |
Branch Locations
375 Essjay Road, Suite 100, Williamsville, NY 14221 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Niagara | Buffalo | NY | 08/2011 | 09/2016 |
| Northwest Bank | Williamsville | NY | 09/2016 | Present |
| Lpl Financial Llc | Williamsville | NY | 03/2019 | Present |
| Lpl Financial Llc | Buffalo | NY | 01/2013 | 01/2017 |
1. 2/11/2020 - Northwest Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/1/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 2. 01/31/2024 - ASK Investors LLC - Inv Related - Columbus, OH - Business Entity For Tax/Investment Purposes Only - Started: 9/30/2022 - 0 Hrs/mo.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-09-26 |
| S63 | Uniform Securities Agent State Law Examination | 2007-12-12 |
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