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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-10-02 |
| NY | RA | APPROVED | 2021-08-03 |
| NJ | RA | APPROVED | 2020-05-20 |
Branch Locations
306A Grooms Rd, Clifton Park, NY 12065 • United States
1627 Us Highway 1, Suite 217, Sebastian, FL 32958 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Si Group, Inc. | Schenectady, Ny 12309 | NY | 06/1992 | 12/2019 |
| Lpl Financial Llc | Clifton Park | NY | 02/2020 | Present |
1. 2/4/20-Thomas Babcock Investment Advisors, LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- Clifton Park, NY- 160hrs/mth- 100% 2. 2/4/20- Notary Public- Inv. Related- Schenectady, NY- 1hr/mth- 30% 3. 2/4/20- JOSEPHINE MCQUEEN LIFE ESTATE ; JOHN A MCQUEEN- Act in a Fiduciary Capacity/ Trustee to a family trust- Inv. Related- Schenectady, NY- 0% 4. 5/27/2022 - The Wright Family Foundation Inc - Investment Related - Home Based - Non-Profit Board Member - Started 01/13/2020 - 5 Hours Per Month/ 0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-05-18 |
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