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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 | Saratoga Springs | NY | 11/2011 | 12/2017 |
| Lpl Financial Llc | Saratoga Springs | NY | 01/2018 | 11/2018 |
| Lpl Financial Llc | Saratoga Springs | NY | 11/2018 | Present |
1- 11/16/18- SARATOGA FINANCIAL SERVICES- DBA for LPL Business (entity for LPL business)- Inv. Related- At Reported Business Location(s) - Start Date 11/12/2018 2- 01/22/2025- CHOCOLATE HORSE STABLE- Other - Business Owner- Not INV Related- Home Based- Start date 01/15/2025- 5 Hours Per Month/ 0 hours during trading 3- 04/28/2026 - Lead Horse Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/08/2026 - 160 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2012-08-11 |
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