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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 | 2017-08-07 |
| NJ | RA | APPROVED | 2006-04-11 |
Branch Locations
7 West Broad Street Suite 204, Mount Vernon, NY 10552 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Mount Vernon | NY | 03/2006 | Present |
1) 03/24/2006 - DBA ONLY - HERITAGE WEALTH MANAGEMENT - MOUNT VERNON, NY. 2) 12/2/2008 - NON-VARIABLE INSURANCE - SELL FIXED ANNUITIES - TIME SPENT 5% - MOUNT VERNON, NY. 3)12/2/2008 - NON-VARIABLE INSURANCE - RESIDUALS FROM EXISTING LIFE INSURANCE BUSINESS ON THE BOOK. - TIME SPENT 0% - - MOUNT VERNON, NY. 4) 2/24/2010 - NON-VARIABLE INSURANCE - TIME SPENT 2% - MOUNT VERNON, NY. 5) 10/24/2025- John Jay FC- Other - soccer coach- Not INV Related- At South Salem, NY- 9 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 1998-11-16 |
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