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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-12-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M&T Bank | Buffalo | NY | 06/2013 | 07/2017 |
| M&T Securities | Buffalo | NY | 06/2015 | 07/2017 |
| Northwest Bank | Amherst | NY | 07/2017 | Present |
| Lpl Financial Llc | Amherst | NY | 08/2017 | Present |
1) 2017-08-01 - Northwest Bank - Financial Institution Duty - Y - at reported business location(s) - 2017-07-26 - 120hrs/mth - 6hrs/mth during trading 2) 2020-02-11 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Northwest Investment Services - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2020-02-11 - 160hrs/mth - 160hrs/mth during trading 3) 2023-02-06 - none - Real Estate Rental - Y - 9063 Reservior Hill Rd, Hammondsport, NY 14840 Service address is 8893 for electric and propane. - 2023-01-19 - 2hrs/mth - 0hrs/mth during trading 4) 2026-05-05 - Conesus Lake House - Real Estate Rental - Y - Conesus NY - 2026-04-09 - 10hrs/mth - 0hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 2016-10-17 |
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