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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-05-30 |
Branch Locations
2350 North Forest Rd, Ste 26B, Getzville, NY 14068 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Pruco Securities Llc | Clarence | NY | 10/2014 | 07/2017 |
| Prudential Insurance Company Of America | Clarence | NY | 10/2014 | 07/2017 |
| The Prudential Insurance Company Of America | Grand Island | NY | 04/2018 | 07/2021 |
| Pruco Securities, Llc | Grand Island | NY | 04/2018 | 07/2021 |
| Next Financial | Williamsville | NY | 07/2017 | 04/2018 |
| Sigma Financial Corporation | Getzville | NY | 07/2021 | Present |
| Sigma Planning Corporation | Getzville | NY | 07/2021 | Present |
| Lpl Financial Llc | Getzville | NY | 05/2023 | Present |
1. 06/14/2023 - Inheritance Planning Group, LLC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/30/2023 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 95%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-06 |
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