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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 |
| TX | RA | APPROVED_RES | 2020-08-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Rochester | NY | 05/2010 | Present |
| Esl Investment Services, Llc | Rochester | NY | 05/2010 | Present |
1) 05/14/2010 - SELF EMPLOYED MUSICIAN - 1% OF TIME SPENT 2) 1/4/2018 - ESL Investment Services, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 04/26/2010 - 160 Hours Per Month/8 Hours During Trading. 3) 1/17/2018 - ESL Investment Services, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 10/11/2011 - 20 Hours Per Month/1 Hour During Securities Trading - Life, Disability, Long Term Care. 4) 11/02/2022 - ESL Investment Services, LLC - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Business Development Manager - Start Date: 07/01/2021 - 20 Hours Per Month/20 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 2005-04-07 |
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