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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
1129 Northern Blvd Ste 404, Manhasset, NY 11030 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Uniondale | NY | 07/2007 | 07/2020 |
| Lpl Financial, Llc | Manhasset | NY | 07/2020 | Present |
1. 1/12/2021 - Book of Brokers LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Started 01/11/2021 - 5 Hours Per Month/1 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-28 |
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