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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-29 |
Branch Locations
3 Lear Jet Ln Stes 200N & 201N, Latham, NY 12110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Albany | NY | 05/2015 | 12/2020 |
| Bank Of America, N.A. | Albany | NY | 08/2015 | 12/2020 |
| Waddell & Reed, Inc. | Albany | NY | 12/2020 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Rensselaer | NY | 12/2020 | 07/2021 |
| Lpl Financial, Llc | Latham | NY | 07/2021 | Present |
1. 9/1/2021 - Clarity Wealth Management LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/23/2021 - 160 Hours Per Month During Securities Trading. 2. 9/15/2021 - Wealth Management - DBA: Empire Financial Advisors, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/02/2021 - 160 Hours Per Month During Securities Trading. 3. 05/10/2022 - Advisors Insurance Brokers - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Financial Advisor - Start Date - 06/01/2021 - 5 Hours Per Month/ 5 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-10-05 |
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