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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-11-13 |
| FL | RA | APPROVED | 2024-06-14 |
| NY | RA | APPROVED | 2024-06-14 |
| NC | RA | APPROVED | 2024-06-14 |
| TX | RA | APPROVED_RES | 2024-06-14 |
Branch Locations
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 |
|---|---|---|---|---|
| L&M Financial Services | Amherst | NY | 01/1992 | Present |
| Securities America Inc. | Amherst | NY | 09/2007 | 06/2024 |
| Securities America Advisors, Inc | Amherst | NY | 09/2007 | 06/2024 |
| Osaic Wealth, Inc. | Amherst | NY | 06/2024 | Present |
1. L&M GROUP POSITION: Insurance Agent NATURE: L&M FINANCIAL SERVICES - INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1990 ADDRESS: 3820 Sheridan Drive, Amherst NY 14226 DESCRIPTION: Insurance Sales 2. URBAN TREE INITATIVE POSITION: non voting board member NATURE: removed as treasurer of green organization in June 2018. Currently just a non voting board member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/04/2018 ADDRESS: 8 Eltham Lane, Amherst NY 14226 DESCRIPTION: Board member only 3. DBA - L&M Wealth Management 4. GRANT STREET STATION LLC POSITION: owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2023 ADDRESS: 5043 Rockledge dr, clarence NY 14031, United States DESCRIPTION: owner
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-08 |
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