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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| TX | RA | APPROVED_RES | 2019-10-16 |
| PA | RA | APPROVED | 2019-04-09 |
Branch Locations
2300 Grand Island Blvd, Grand Island, NY 14072 • United States
805 Main Street, Niagara Falls, NY 14301 • United States
4381 Military Road, Niagara Falls, NY 14305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Niagara (Formerly: Fhsbc Bank Usa) | Niagara Falls | NY | 10/2001 | 09/2016 |
| Lpl Financial Llc | Grand Island | NY | 05/2012 | Present |
| Northwest Bank | Grand Island | 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) - Started 2/1/2020 - 160 Hours Per Month During Securities Trading. 2. 5/11/2021 - 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 | 2007-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-23 |
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