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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
12 North Ave, Pleasant Valley, NY 12569 • United States
3160 East Main Street, Mohegan Lake, NY 10547 • United States
Hyde Park, NY • 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 |
|---|---|---|---|---|
| Lpl Financial Llc | Pleasant Valley | NY | 08/2005 | Present |
1. 10/23/2007 - DBA ONLY - HVFCU FINANCIAL SERVICES AT HUDSON VALLEY FEDERAL - PLEASANT VALLEY, NY. 2. 09/03/2015 - NO BUSINESS NAME - REAL ESTATE RENTAL - NOT INV REL - 182 A CARDINAL ROAD HYDE PARK, NY 12538 - 0 HRS/MO DURING SECS TRDG HRS. 3. 10/5/2017 - Hudson Valley Federal Credit Union Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start 10/09/2017 - 10 Hours Per Month During Securities Trading - Offering Medicare Advantage Plans, Medicare Supplements and Prescription Drug Plans. 4. 10/3/2019 - Hudson Valley Credit Union - DBA: Wealth Management at Hudson Valley Credit Union - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-03-07 |
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