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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Community Bank | Gouverneur | NY | 04/2009 | Present |
| Invest Financial Corporation | Gouverneur | NY | 01/2011 | 02/2018 |
| Lpl Financial Llc | Gouverneur | NY | 02/2018 | Present |
1.12/28/2017; Community Bank; Outside/W-2 Employment; Not Investment Related; 100 E Main St Gouverneur,NY; Start Date ; hrs/mth; hrs during trading 2.12/28/2017; David Lane Jr and Carrie Lane; Real Estate Rental; Not Investment Related; 31 Quarry Rd Gouverneur,NY; Start Date ; 1hrs/mth; hrs during trading 3.01/07/2020; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Community Investment Services Inc.; Investment Related; at Reported Business Location(s); Start Date 02/20/2018; 160hrs/mth; 160hrs during trading 4.05/19/2023; Community Investment Services; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 02/28/2023; 2hrs/mth; 2hrs during trading 5.04/04/2025; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Nottingham Investment Services; Investment Related; at Reported Business Location(s); Start Date 03/31/2025; hrs/mth; hrs during trading 6.08/31/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name North Country Wealth Partners; Investment Related; at Reported Business Location(s); Start Date 08/18/2026; 160hrs/mth; 160hrs during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2005-01-25 |
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