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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-09-26
  • NY RA
    APPROVED
    Since 2024-09-26

Branch Locations

265 Windsor Hwy, New Windsor, NY 12553 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fidelity Brokerage Services, Llc Westlake TX 01/2020 10/2021
Fidelity Investments Westlake TX 02/2016 01/2020
Charles Schwab & Co., Inc Westlake TX 04/2022 07/2023
Unemployed Irving TX 11/2021 03/2022
Unemployed Slate Hill NY 07/2023 12/2023
Amazon Hopewell Junction NY 12/2023 12/2023
Unemployed Slate Hill NY 12/2023 02/2024
Hudson Valley Credit Union New Windsor NY 02/2024 Present
Lpl Financial Llc New Windsor NY 06/2024 Present
  • 01/2020 → 10/2021
    Fidelity Brokerage Services, Llc
    Westlake, TX
  • 02/2016 → 01/2020
    Fidelity Investments
    Westlake, TX
  • 04/2022 → 07/2023
    Charles Schwab & Co., Inc
    Westlake, TX
  • 11/2021 → 03/2022
    Unemployed
    Irving, TX
  • 07/2023 → 12/2023
    Unemployed
    Slate Hill, NY
  • 12/2023 → 12/2023
    Amazon
    Hopewell Junction, NY
  • 12/2023 → 02/2024
    Unemployed
    Slate Hill, NY
  • 02/2024 → Present
    Hudson Valley Credit Union
    New Windsor, NY
  • 06/2024 → Present
    New Windsor, NY
Other Businesses

1) 04/2024 - Hudson Valley Credit Union / Financial Institution Duty / Licensed Branch Employee / Inv. Related / New Windsor, New York / Start date 02/20/2024 - 160 Hrs per month - 100% Time Spent 2) 04/2024 - Wealth Management at Hudson Valley / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) 3) 09/12/2024 - Shoprite - Outside/W-2 Employment - Not investment Related - Middletown & Vails Gate, NY - Start Date 09/09/2024 - 25 Hours Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-26
S63 Uniform Securities Agent State Law Examination 2020-05-27
  • S66 Uniform Combined State Law Examination
    2024-09-26
  • S63 Uniform Securities Agent State Law Examination
    2020-05-27
Other Names
  • Anibal Cruz
  • Anibal Cruz

View on SEC IAPD

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