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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2022-12-16
AZ RA APPROVED 2021-06-09
CA RA APPROVED 2021-06-09
CT RA APPROVED 2021-06-09
DE RA APPROVED 2021-06-09
DC RA APPROVED 2021-06-09
GA RA APPROVED 2021-06-09
MD RA APPROVED 2021-06-09
MA RA APPROVED 2021-06-09
NJ RA APPROVED 2021-06-09
NY RA APPROVED 2021-06-09
NC RA APPROVED 2021-06-09
OH RA APPROVED 2021-06-09
OR RA APPROVED 2021-06-09
TN RA APPROVED 2021-06-09
TX RA APPROVED 2021-06-09
VT RA APPROVED 2021-06-09
VA RA APPROVED 2021-06-09
WV RA APPROVED 2021-06-09
  • PA RA
    APPROVED
    Since 2022-12-16
  • AZ RA
    APPROVED
    Since 2021-06-09
  • CA RA
    APPROVED
    Since 2021-06-09
  • CT RA
    APPROVED
    Since 2021-06-09
  • DE RA
    APPROVED
    Since 2021-06-09
  • DC RA
    APPROVED
    Since 2021-06-09
  • GA RA
    APPROVED
    Since 2021-06-09
  • MD RA
    APPROVED
    Since 2021-06-09
  • MA RA
    APPROVED
    Since 2021-06-09
  • NJ RA
    APPROVED
    Since 2021-06-09
  • NY RA
    APPROVED
    Since 2021-06-09
  • NC RA
    APPROVED
    Since 2021-06-09
  • OH RA
    APPROVED
    Since 2021-06-09
  • OR RA
    APPROVED
    Since 2021-06-09
  • TN RA
    APPROVED
    Since 2021-06-09
  • TX RA
    APPROVED
    Since 2021-06-09
  • VT RA
    APPROVED
    Since 2021-06-09
  • VA RA
    APPROVED
    Since 2021-06-09
  • WV RA
    APPROVED
    Since 2021-06-09

Branch Locations

329 W Baltimore St., Baltimore, MD 21201 • United States

1568 Route 9 Imperial Plaza, Wappingers Falls, NY 12590 • United States

1019 Park Street, Peekskill, NY 10566 • United States

585 William St., Buffalo, NY 14206 • United States

527 Piermont Ave, Piermont, NY 10968 • United States

5 E. Market Street, Corning, NY 14830 • United States

230 Desmond Street, Sayre, PA 18840 • United States

13-15 Sussex St, Port Jervis, NY 12771 • United States

1300 Jefferson Ave., Buffalo, NY 14208 • United States

One Fountain Plz 10Th Flr, Buffalo, NY 14203 • United States

375 South Cedar Crest Blvd., Allentown, PA 18103 • United States

10 Milton Ave, Highland, NY 12528 • United States

3037 Bailey Ave., Buffalo, NY 14215 • United States

900 North 9Th St, Stroudsburg, PA 18360 • United States

510 West Broad St., Bethlehem, PA 18018 • United States

584 Broadway, Saugus, MA 01906 • United States

Buffalo, 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
M&T Securities Buffalo NY 01/2015 Present
Multiple Schools Buffalo NY 11/1988 Present
Lpl Financial Llc Buffalo NY 06/2021 Present
Lpl Financial Llc Buffalo NY 06/2021 Present
  • 01/2015 → Present
    M&T Securities
    Buffalo, NY
  • 11/1988 → Present
    Multiple Schools
    Buffalo, NY
  • 06/2021 → Present
    Buffalo, NY
  • 06/2021 → Present
    Buffalo, NY
Previous Registrations
  • 2017-04-18 → 2021-06-09
    M&T Securities, Inc.
    Buffalo, NY
    Buffalo, NY
    Baltimore, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-17
S63 Uniform Securities Agent State Law Examination 2015-04-24
  • S65 Uniform Investment Adviser Law Examination
    2017-04-17
  • S63 Uniform Securities Agent State Law Examination
    2015-04-24

View on SEC IAPD

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