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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-12-01 |
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | Ballston Lake | NY | 09/1998 | Present |
1. 6/22/1999: Nicotera Asset Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - life insurance. 2. 1/6/2007: Nicotera Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 11/4/2014: Training House, LLC - Investment Related - 2570 State Route 9, Ballston Spa, NY 12020 - Other-Firearms Instruction - Started 11/01/14 - 10 Hours Per Month/0 Hours During Securities Trading - Instructor / Member partner. 4. 11/4/2014: NZ Holdings, LLC - Investment Related - 2570 State Route 9, Ballston Spa, NY 12020 - Other-Firearms Instruction/Property Ownership - Started 11/01/14 - 2 Hours Per Month/0 Hours During Securities Trading - 50% owner / member. 5. 4/6/2016: Bright Blue, LLC - Not Investment Related - 2570 Route 9, Malta, NY 12020 - Other-Business Owner - Started 03/09/16 - 5 Hours Per Month/0 Hours During Securities Trading - Firearms instructor. 6. 4/6/2016: NZ Safety, LLC - Not Investment Related - 2570 Route 9, Malta, NY 12020 - Other-Business Owner - Started 03/15/16 - 5 Hours Per Month/0 Hours During Securities Trading - Instructor / Member / Partner.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 1992-10-27 |
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