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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-03
  • NY RA
    APPROVED
    Since 2021-08-03

Branch Locations

1515 Route 22, Brewster, NY 10509 • United States

6 Schuyler Blvd, Fishkill, NY 12524 • United States

152 Route 6, Mahopac, NY 10541 • United States

Hopewell Junction, 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
Lpl Financial Llc Carmel NY 10/2012 Present
Hudson Valley Federal Credit Union Carmel NY 11/2011 Present
  • 10/2012 → Present
    Carmel, NY
  • 11/2011 → Present
    Hudson Valley Federal Credit Union
    Carmel, NY
Other Businesses

1. 11/21/2012: Hudson Valley Federal Credit Union - Investment Related - At Reported Business Location(s) - Financial Institution Duty - BANK DUTY - LBE; FSR III - Time Spent 100%. 2. 12/13/2016: No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Notary Public - 0 Hours Per Month. 3. 10/5/2017 - Hudson Valley Federal Credit Union Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start 10/09/2017 - 10 Hours Per Month During Securities Trading 4. 10/3/2019 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Wealth Management at Hudson Valley Credit Union - Investment Related - At Reported Business Location(s) - Start Date: 10/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-12-27
  • S63 Uniform Securities Agent State Law Examination
    2012-12-27

View on SEC IAPD

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