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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-11-14 |
Branch Locations
33 35Th Street Suite A410, Brooklyn, NY 11232 • United States
109 New Dorp Plz N Suite 101, Staten Island, NY 10306 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northern Trust | New York | NY | 10/2014 | 12/2016 |
| New York Life Insurance Company | Lake Success | NY | 05/2018 | 11/2018 |
| Nylife Securities Llc | Lake Success | NY | 06/2018 | 11/2018 |
| Unemployed | Brooklyn | NY | 12/2016 | 05/2018 |
| Pruco Securities, Llc. | Staten Island | NY | 10/2018 | 11/2024 |
| Lpl Enterprise, Llc | Staten Island | NY | 11/2024 | Present |
1) 11/01/2024 - Emerson Rogers - Health Insurance Sales Agent - Non-Variable Insurance Commission Trails - inv related - Staten Island, NY - start date 12/26/2020 - 0 hrs/mth - 0 during trading 2) 10/25/2024 - Home Family Care Inc - Taking care of elderly father sponsored by the City of NY - not inv related - Staten Island, NY - start date 1/13/2020 - 96 hrs/mth - 0 during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2015-07-11 |
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