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Current Employers
Wny Asset Management, Llc

6500 Sheridan Drive, Suite 200, Williamsville, NY 14221 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-30
TX RA APPROVED 2015-10-23
  • NY RA
    APPROVED
    Since 2021-06-30
  • TX RA
    APPROVED
    Since 2015-10-23

Branch Locations

6500 Sheridan Drive, Suite 200, Williamsville, NY 14221 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cadaret, Grant & Co., Inc Williamsville NY 08/2005 07/2025
Wny Asset Management Williamsville NY 08/2005 Present
Wny Asset Management Llc Williamsville NY 07/2010 Present
Lpl Financial Llc Williamsville NY 07/2025 Present
  • 08/2005 → 07/2025
    Cadaret, Grant & Co., Inc
    Williamsville, NY
  • 08/2005 → Present
    Wny Asset Management
    Williamsville, NY
  • 07/2010 → Present
    Williamsville, NY
  • 07/2025 → Present
    Lpl Financial Llc
    Williamsville, NY
Other Businesses

1- 07/2025 - WNY Asset Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/05/2005 - 160 hours per month/ during trading 2- 07/2025 - Specific Solutions - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 03/01/2020 - 4 hours per month/ during trading 3- 07/2025 - WNY Tax Planners - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 01/01/2024 - 4 hours per month/ during trading 4- 07/18/2025 - WNY Asset Management - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 08/05/2008 - 180 hours per month/ 160 hours during trading - I provide investment advisory services through WNY Asset Management, an independent investment advisor firm. I started this business activity in 8/2008. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-03
S63 Uniform Securities Agent State Law Examination 1991-04-25
  • S65 Uniform Investment Adviser Law Examination
    1998-07-03
  • S63 Uniform Securities Agent State Law Examination
    1991-04-25
Designations

View on SEC IAPD

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