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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-29 |
| NY | RA | APPROVED | 2021-07-11 |
| PA | RA | APPROVED | 2019-04-09 |
Branch Locations
690 Kenmore Ave, Buffalo, NY 14216 • United States
3105 Niagara Falls Blvd., Amherst, NY 14228 • United States
3208 Sheridan Dr, Amherst, NY 14226 • 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 |
|---|---|---|---|---|
| First Niagara Bank | Amherst | NY | 11/2009 | 09/2016 |
| Lpl Financial, Llc | Amherst | NY | 05/2010 | Present |
| Northwest Bank | Amherst | NY | 09/2016 | Present |
1. 2/11/2020 - Northwest Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/1/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 2. 5/12/2021 - Northwest Bank - Not Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 5/11/2021 - 5 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-25 |
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