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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-08 |
Branch Locations
225 Chestnut St, Rochester, NY 14604 • United States
Rochester, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citizens Bank | Rochester | NY | 03/2019 | 04/2021 |
| Lowes Inc. | Henrietta | NY | 03/2018 | 03/2019 |
| Amica Mutual Insurance Co. | Fairport | NY | 10/2016 | 03/2018 |
| Raymour & Flanigan | Rochester | NY | 04/2016 | 10/2016 |
| Citizens Securities, Inc. | Rochester | NY | 04/2019 | 12/2020 |
| Esl Federal Credit Union | Rochester | NY | 05/2021 | 07/2022 |
| Esl Investment Services, Llc | Rochester | NY | 06/2021 | Present |
| Lpl Financial Llc | Rochester | NY | 06/2021 | Present |
1) 6/2021- ESL Investment Services, LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- Rochester, NY- 100% 2) 6/2021- ESL INVESTMENT SERVICES, LLC- Non-Variable Insurance- Agent selling Life & Disabiliy -Inv. Related- Rochester, NY- start date 5/2021- 20hrs/mth 3) 6/2021- Notary- Not Inv. Related- Rochester, NY- start date 8/28/2019 4) 09/17/2024 -ESL Investment Services LLC - Financial Institution Duty - Investment Related - At Reported Business Location(s) - Start Date 08/12/2024 - 80 Hours Per Month/ 4 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 2019-06-18 |
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