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CRD 2639535
LPl Financial LLC CRD 6413
$819B regulatory AUM 209,600 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2022-09-21 |
| NY | RA | APPROVED | 2021-08-28 |
Branch Locations
1256 Front Street, Binghamton, NY 13901 • United States
2950 State Route 11, Whitney Point, NY 13862 • United States
2 North Main St. P.O. Box 158, Newark Valley, NY 13811 • United States
1310 North St Ste 1, Endicott, NY 13760 • United States
156 Robinson Street, Binghamton, NY 13904 • United States
3121 Vestal Parkway East, Vestal, NY 13851 • United States
331 Main Street, Johnson City, NY 13790 • United States
14 East Main Street, Marathon, NY 13803 • United States
Myrtle Beach, SC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Vestal | NY | 09/2004 | Present |
(1) 07/03/2014: NBT INSURANCE AGENCY, LLC - INV REL - 3121 VESTAL PARKWAY EAST, VESTAL, NY 13851 - NON-VARIABLE INSURANCE - START 06/24/14 - 10 HR/MO ALL DURING SECS TRDG HRS - MARKETING, SALES AND SERVICE OF FIXED LIFE, DISABILITY, LTC, HEALTH AND ANNUITY PRODUCTS (2) 05/02/2019 - NBT INVESTMENT SERVICES - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:5/2/2019.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-07-19 |
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