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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-10 |
Branch Locations
3 disclosure categories 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 | Whitesboro | NY | 04/2012 | 09/2016 |
| Key Investment Services Llc | Whitestown | NY | 09/2016 | 06/2017 |
| Wells Fargo Clearing Services Llc | New Hartford | NY | 06/2017 | 08/2021 |
| Cadaret, Grant & Co., Inc. | New Hartford | NY | 09/2021 | 07/2025 |
| Lpl Financial Llc | New Hartford | NY | 07/2025 | Present |
1. 07/10/2025- Sedgwick Wealth Partners- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 02/01/2024- 160 Hours Per Month- 160 Hours During Trading 2. 07/10/2025- Christopher A. Brennen-Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 11/01/1999- 1 Hour Per Month- 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-26 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-06 |
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