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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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Albany | NY | 01/2019 | Present |
| Capital Communications Fcu | Albany | NY | 05/2009 | Present |
1) 04/12/2016 - CAP COM Federal Credit Union - Financial Institution Duty - Not Investment Related - At Reported Business Location(s) - Start Date 04/17/2009 - 160 hours per month/ during trading 2) 1/23/19- Investment products and services are offered through LPL Financial LLC using the DBA/trade name CAP COM Financial Services - Inv. Related - At Reported Business Location(s)- 100% 3) 2/28/2023 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Broadview Wealth Management - Investment Related - At Reported Business Location(s) - Start Date 03/31/2023 4) 04/07/2026 - Greenbush Tape and Label - Outside/W-2 Employment - Not Investment Related - Albany, NY - Start Date 01/01/2026 - 0 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 2007-11-10 |
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