Andrew M Walts

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2026-01-23

NY RA
APPROVED

Since 2026-01-23

Branch Locations

14 Durkee St, Plattsburgh, NY 12901 • United States

123 Montcalm St, Ticonderoga, NY 12883 • United States

20 Smithfield Blvd, Plattsburgh, NY 12901 • United States

1080 Main St, Schroon Lake, NY 12870 • United States

4307 Main St, Port Henry, NY 12974 • United States

5023 U.S. Avenue, Plattsburgh, NY 12903 • United States

250 Glen St, Glens Falls, NY 12801-3505 • United States

139 Church St., Saranac Lake, NY 12983 • United States

67 Main St., Saranac Lake, NY 12983 • United States

2426 Main St., Lake Placid, NY 12946 • United States

38 Hadjis Way, Lake Placid, NY 12946 • 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

Organization	City	State	From	To
Td Bank	Stone Ridge	NY	05/2015	11/2017
Td Bank	Warrensburg	NY	11/2017	06/2019
Td Bank	Warrensburg	NY	06/2019	03/2020
Td Bank N.A.	Warrensburg	NY	03/2020	01/2026
Regal Cinema	Queensbury	NY	03/2015	11/2018
Dicks Sporting Goods	Queensbury	NY	02/2019	09/2019
Td Private Client Wealth Llc	Warrensburg	NY	06/2020	01/2026
Lpl Financial Llc	Glens Falls	NY	01/2026	Present
Arrow Bank National Association	Glens Falls	NY	01/2026	Present

05/2015 → 11/2017

Td Bank

Stone Ridge, NY
11/2017 → 06/2019

Td Bank

Warrensburg, NY
06/2019 → 03/2020

Td Bank

Warrensburg, NY
03/2020 → 01/2026

Td Bank N.A.

Warrensburg, NY
03/2015 → 11/2018

Regal Cinema

Queensbury, NY
02/2019 → 09/2019

Dicks Sporting Goods

Queensbury, NY
06/2020 → 01/2026

Td Private Client Wealth Llc

Warrensburg, NY
01/2026 → Present

Lpl Financial Llc

Glens Falls, NY
01/2026 → Present

Arrow Bank National Association

Glens Falls, NY

Previous Registrations

2020-09-09 → 2026-01-28

Td Private Client Wealth Llc

Warrensburg, NY

Mount Laurel, NJ

Springfield, MA

Manchester, NH

Hartford, CT

New York, NY

White Plains, NY

Other Businesses

1-01/2026 / Investment products and services are offered through LPL Financial LLC using the DBA/trade name Arrow Investment Services / INVESTMENT RELATED / 160 HRS MNTH / 160 HRS DURING TRADING / At Reported Business Location(s) / START 01/13/2026 2- 06/17/2026 - Arrow Bank National Association - Financial Institution Duty - Investment Related - At Reported Business Location(s) - Start Date 01/13/2026 - 160 hours per month/ during trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2025-09-12
S65	Uniform Investment Adviser Law Examination	2020-09-08

S63 Uniform Securities Agent State Law Examination

2025-09-12
S65 Uniform Investment Adviser Law Examination

2020-09-08

View on SEC IAPD