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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-24 |
| PA | RA | APPROVED | 2019-04-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Niagara Bank | Lockport | NY | 10/1994 | 09/2016 |
| Lpl Financial Llc | Lockport | NY | 06/2015 | Present |
| Northwest Bank | Lockport | NY | 09/2016 | Present |
1. 11/15/2018 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-New York State Notary Public - Started 11/08/2018 - 0 Hours Per Month. 2. 2/11/2020 - Northwest Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/1/2020 - 160 Hours Per Month/160 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-02-23 |
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