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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-09
  • NY RA
    APPROVED
    Since 2021-06-09

Branch Locations

490 Dorrance Ave., Buffalo, NY 14218 • United States

2199 Seneca St., Buffalo, NY 14210 • United States

1024 Union Road, West Seneca, NY 14224 • United States

Orchard Park, NY • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
M&T Securities Snyder NY 12/2015 06/2021
Lpl Financial Llc Williamsville NY 06/2021 Present
  • 12/2015 → 06/2021
    M&T Securities
    Snyder, NY
  • 06/2021 → Present
    Williamsville, NY
Previous Registrations
  • 2017-04-24 → 2021-06-09
    M&T Securities, Inc.
    Cheektowaga, NY
    Buffalo, NY
    Snyder, NY
    Williamsville, NY
    Williamsville, NY
    Williamsville, NY
    Williamsport, PA
    Cheektowaga, NY
    Buffalo, NY
    Baltimore, MD
    Cheektowaga, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-21
S63 Uniform Securities Agent State Law Examination 2008-03-18
  • S65 Uniform Investment Adviser Law Examination
    2017-04-21
  • S63 Uniform Securities Agent State Law Examination
    2008-03-18

View on SEC IAPD

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