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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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American General Life Insurance Company | Glen Falls | NY | 03/1994 | Present |
| Adirondack Financial & Planning Services, Inc. | Queensbury | NY | 03/1994 | Present |
| Cadaret, Grant & Co., Inc. | Queensbury | NY | 02/2009 | 07/2025 |
| Lpl Financial Llc | Queensbury | NY | 07/2025 | Present |
1- 07/2025 - David Brown - Real Estate Rental - Owner - Investment Related - At Reported Business Location(s) - Start Date 09/08/2011 - 10 hours per month/ 5 hours during trading 2- 07/2025 - Adirondack Financial & Planning Services Inc. - Non-Variable Insurance - Owner - Investment Related - At Reported Business Location(s) - Start Date 06/01/2009 - 20 hours per month/ 20 hours during trading 3- 07/2025 - Adirondack Financial & Planning Services Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/12/2018 - 160 hours per month/ 140 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-08 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-04 |
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