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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-10 |
| TX | RA | APPROVED_RES | 2025-07-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual | Amherst | NY | 07/2014 | 07/2018 |
| Mml Investors Services | Amherst | NY | 07/2014 | 07/2018 |
| Cadaret, Grant & Co., Inc. | Niagara Falls | NY | 07/2018 | 07/2025 |
| Lpl Financial Llc | Niagara Falls | NY | 07/2025 | Present |
1. 07/10/2025- Capital Management Group of Niagara- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 01/01/2019- 160 Hours Per Month- 120 Hours During Trading 2. 07/10/2025- Capital Management Group of Niagara-DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 01/01/2019- 160 Hours Per Month- 100 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2013-12-23 |
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