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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-03-17 |
| TX | RA | APPROVED_RES | 2025-03-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invest Financial Corp. | Tampa | FL | 09/2015 | Present |
| Community Bank, Na | Plattsburgh | NY | 09/2015 | Present |
| Lpl Financial Llc | Malone | NY | 02/2018 | 03/2025 |
| Wells Fargo Clearing Services, Llc ( | Plattsburgh | NY | 03/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 1993-08-23 |
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