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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 |
| MD | RA | APPROVED | 2019-03-29 |
Branch Locations
7920 State Route 5, Suite 2, Clinton, NY 13323 • United States
Syracuse, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mohawk Valley Capital Management | Clinton | NY | 10/2010 | Present |
| Cadaret, Grant & Co., Inc. | Clinton | NY | 10/2010 | 03/2019 |
| Lpl Financial Llc | Clinton | NY | 03/2019 | Present |
1. 3/29/2019 - The Salt City Dart League - Not Investment Related - Erie Blvd, Syracuse NY - Non-Profit Board Member - President - Started 05/01/2018 - 3 Hours Per Month/0 Hours During Securities Trading - Time Spent 2%. 2. 3/29/2019 - Mohawk Valley Capital Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/28/2010. 3. 3/29/2019 - INSIDERBASEBALL.COM - Not Investment Related - Home Based - Outside/W-2 Employment - STAFF WRITER - Stared 03/01/2003 - 15 Hours Per Month/0 Hours During Securities Trading - Time Spent 5%. 4. 05/13/2022 - Fantistics- Not Investment Related - Home Based - Other - Radio - Start Date - 02/26/2022 - 12 Hours Per Month/ 0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-11 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-25 |
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