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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-03-18 |
| NY | RA | APPROVED | 2024-03-18 |
| TX | RA | APPROVED | 2024-03-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lululemon | Westport | CT | 10/2019 | 04/2020 |
| Unemployed | Washingtonville | NY | 06/2018 | 10/2019 |
| Mazzone Hospitality | Clifton Park | NY | 11/2016 | 05/2018 |
| Foresters Financial | Latham | NY | 02/2018 | 04/2018 |
| Point 72 | Stamford | CT | 06/2017 | 08/2017 |
| Unemployed | Washingtonville | NY | 02/2017 | 06/2017 |
| Vince | Central Valley | NY | 06/2016 | 01/2017 |
| Axa Advisors, Llc | New York | NY | 11/2019 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 11/2019 | 10/2020 |
| Cetera Investment Services Llc | St Cloud | MN | 12/2020 | 03/2024 |
| Cetera Investment Advisers Llc | Fishkill | NY | 05/2021 | 12/2021 |
| Cetera Investment Advisers Llc | Fishkill | NY | 01/2023 | 03/2024 |
| Lpl Financial | Beacon | NY | 03/2024 | Present |
1- 03/2024 / Serene Capital Management and Solutions / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-01-06 |
| S63 | Uniform Securities Agent State Law Examination | 2021-05-14 |
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