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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-09-27 |
Branch Locations
573 Columbia Turnpike Building 1, Ste B, East Greenbush, NY 12061 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services Llc | Albany | NY | 06/2016 | 09/2018 |
| William Newman | Albany | NY | 06/2016 | 09/2018 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 07/2016 | 09/2018 |
| Atlas Private Wealth Management, Llc | Albany | NY | 09/2018 | 03/2021 |
| Cadaret Grant & Co., Inc. | Clifton Park | NY | 03/2021 | 09/2023 |
| Lpl Financial Llc | Latham | NY | 09/2023 | Present |
1) 08/30/2023 - Town of Nassau - Outside/W-2 Employment - Youth Director - Non investment related - 5 Hours per month - Start date: 7/12/2023. 2) 08/30/2023 - Rings Financial - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 3) 06/04/2024 - Lyons Lake - Non-Inv Related - Nassau, NY - Other - LLC Member for Family Business - Started: 4/1/2024 - 2 Hrs/Mo; 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-04-02 |
| S65 | Uniform Investment Adviser Law Examination | 2018-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 2013-02-22 |
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