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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-12-02 |
Branch Locations
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 |
|---|---|---|---|---|
| Lpl Financial Llc | Norwich | NY | 09/2002 | 08/2019 |
| Sagepoint Financial, Inc | Williamsville | NY | 08/2019 | 12/2022 |
| Lpl Financial Llc | Norwich | NY | 12/2022 | Present |
1) 12/2022- Empire Financial Advisors, Inc- DBA for LPL Business (entity for LPL business)- inv. related- Norwich, NY 2) 12/2022- Red Oak Financial Management, LLC- Non-Variable Insurance- Agent selling Fixed annuities, LTC, DIS, medicare supplements and whole life - inv. related- Norwich, NY - start date 12/06/2013- 4hrs/mth 3) 03/18/2025 - Legacy Wealth Group - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - Start date:03/17/2025 - 160 Hrs/Mth - 6 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-13 |
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