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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-11-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Securities Llc | New York | NY | 07/2016 | 11/2018 |
| Wells Fargo Clearing Services | New York | NY | 11/2018 | 08/2021 |
| Wells Fargo Bank | New York | NY | 11/2018 | 08/2021 |
| Lpl Financial, Llc | Jericho | NY | 10/2021 | Present |
| Sterling National Bank | Jericho | NY | 09/2021 | Present |
1) 11/08/2021 - ADMINISTRATOR - Act in a Fiduciary Capacity - ADMINISTRATOR FOR FATHER - Inv Rel - Woodside, NY - Start: 11/2020 - 5 Hr/Mth 2) 02/14/2022 - Webster Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/01/2022 - 5 Hours Per Month/5 Hours During Securities Trading. 3) 04/08/2022 - Webster Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Senior Managing Director/Co-Team Lead - Start Date: 02/01/2022 - 160 Hours Per Month/125 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 1998-11-12 |
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