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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
851 New Loudon Rd, Latham, NY 12110 • United States
Rotterdam, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citizens Securities Inc | Albany | NY | 11/2014 | 09/2016 |
| Citizens Securities, Inc. | Albany | NY | 09/2016 | 09/2017 |
| Citizens Securities, Inc. | Albany | NY | 09/2017 | 07/2020 |
| Broadview Federal Cu | Albany | NY | 07/2020 | 01/2026 |
| Lpl Financial Llc | Albany | NY | 07/2020 | Present |
| Hudson Valley Credit Union | Latham | NY | 01/2026 | Present |
1) 02/28/2023 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Broadview Wealth Management - Investment Related - At Reported Business Location(s) - Start Date - 03/31/2023 2) 01/30/2026 - 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 - 12/22/2025 - 173 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 2015-07-20 |
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