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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-11-14 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Prudential Insurance Company Of America | Rochester | NY | 03/2016 | Present |
| Lpl Enterprise, Llc | Batavia | NY | 11/2024 | Present |
1) 11/18/2024- Empire Financial Advisory Services- Prudential Registered Private office- DBA for LPL Business (entity for LPL business)- INV Related- Batavia, NY- Start Date 06/22/2023- 160hrs/mth- 160hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 2016-03-15 |
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