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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-11-04
  • NY RA
    APPROVED
    Since 2021-11-04

Branch Locations

900 Thruway Plaza Dr., Cheektowaga, NY 14225-4992 • United States

644 Bailey Avenue, Buffalo, NY 14206-3098 • United States

10 Slade Ave., West Seneca, NY 14224-2641 • United States

West Seneca, NY • 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
M&T Securities, Inc. Buffalo NY 04/2011 06/2021
Medaille College Amherst NY 09/2011 06/2021
Lpl Financial Llc West Seneca NY 06/2021 Present
  • 04/2011 → 06/2021
    M&T Securities, Inc.
    Buffalo, NY
  • 09/2011 → 06/2021
    Medaille College
    Amherst, NY
  • 06/2021 → Present
    West Seneca, NY
Previous Registrations
  • 2017-05-05 → 2021-06-09
    M&T Securities, Inc.
    Buffalo, NY
    Buffalo, NY
    Buffalo, NY
    Baltimore, MD
Other Businesses

1. 08/02/2022 - Wilmington Advisors @ M&T - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 01/01/2022 - 200 Hours Per Month/8 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-04
S63 Uniform Securities Agent State Law Examination 2012-01-06
  • S66 Uniform Combined State Law Examination
    2017-05-04
  • S63 Uniform Securities Agent State Law Examination
    2012-01-06

View on SEC IAPD

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