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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-01-10 |
Branch Locations
1228 Jefferson Ave, Buffalo, NY 14208 • United States
4435 Transit Road, Williamsville, NY 14221 • United States
14 Lafayette Square, Buffalo, NY 14203 • United States
364 Connecticut St, Buffalo, NY 14213 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American College Dublin | Dublin | 01/2015 | 12/2016 | |
| Unemployed | East Amherst | NY | 01/2017 | 09/2017 |
| Axa Advisors, Llc | Williamsville | NY | 05/2017 | 02/2018 |
| Pruco Securities, Llc | Orchard Park | NY | 03/2018 | 01/2021 |
| The Prudential Insurance Company Of America | Orchard Park | NY | 03/2018 | 01/2021 |
| Mml Investors Services, Llc | Williamsville | NY | 02/2021 | 03/2021 |
| Mass Mutual Life Insurance Company | Williamsville | NY | 02/2021 | 03/2021 |
| Lpl Financial | Williamsville | NY | 03/2021 | Present |
| Northwest Bank | Williamsville | NY | 03/2021 | Present |
1) 03/11/2021 - Northwest Investment Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 03/21 2) 10/05/2023 - NORTHWEST BANK - Financial Institution Duty - Inv Rel - At Reported Business Location(s) - Start Date 01/09/2023 - 1 Hour a Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-12-30 |
| S65 | Uniform Investment Adviser Law Examination | 2018-01-05 |
| S63 | Uniform Securities Agent State Law Examination | 2017-10-21 |
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