Brian David Hooks

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03

NY RA
APPROVED

Since 2021-08-03

Branch Locations

99 Washington Ave, Albany, NY 12210 • United States

279 Madison Ave Empire State Plaza, Rm 110, Albany, NY 12242 • United States

110 State Street, Albany, NY 12207 • United States

200 South Pearl Street, Albany, NY 12202 • United States

65 Vandenburgh Ave, Troy, NY 12180 • United States

256 Hoosick St, Troy, NY 12180 • United States

4 Winners Circle, Albany, NY 12205 • United States

4 Century Hill Dr, Latham, NY 12110 • United States

65 Vandenburgh Ave, Troy, NY 12180 • United States

219 Ontario St, Cohoes, NY 12047 • United States

799 Hoosick Rd, Brunswick, NY 12180 • United States

Cohoes, NY • 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
Lpl Financial Llc	Albany	NY	01/2019	Present
Broadview Federal Credit Union	Albany	NY	05/2011	Present

01/2019 → Present

Lpl Financial Llc

Albany, NY
05/2011 → Present

Broadview Federal Credit Union

Albany, NY

Other Businesses

1) 2/28/2023 - Broadview Wealth Management - Investment Related - At Reported Business Location(s) - Start Date - 03/31/2023 2) 06/03/2024 - Shaker High School - Non-Inv Related - Latham, NY - Outside/W-2 Employment - Head coach of basketball team - Started: 11/13/2023 - 48 Hrs/Mo; 0 Hrs During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-06-06

S66 Uniform Combined State Law Examination

2019-06-06