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Current Employers
Nbt Capital Management, Inc.

52 South Broad Street, Norwich, NY 13815 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-04-01
  • NY RA
    APPROVED
    Since 2022-04-01

Branch Locations

295 Broadway, Saratoga Springs, NY 12866 • United States

52 South Broad Street, Norwich, NY 13815 • United States

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-03-24
TX RA APPROVED 2022-03-24
  • NY RA
    APPROVED
    Since 2022-03-24
  • TX RA
    APPROVED
    Since 2022-03-24

Branch Locations

295 Broadway, Saratoga Springs, NY 12866 • United States

Greenfield Center, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Nbt Bank Saratoga Springs NY 03/2019 Present
Fleet Bank/Bank Of America/Us Trust Albany NY 09/2000 03/2019
Lpl Financial Llc Saratoga Springs NY 03/2019 Present
Nbt Capital Management, Inc Johnson City NY 04/2022 Present
  • 03/2019 → Present
    Nbt Bank
    Saratoga Springs, NY
  • 09/2000 → 03/2019
    Fleet Bank/Bank Of America/Us Trust
    Albany, NY
  • 03/2019 → Present
    Saratoga Springs, NY
  • 04/2022 → Present
    Johnson City, NY
Other Businesses

1) 4/28/2021 - No Business Name - Not Investment Related - Home Based - Other-Dog Sitter - Start Date: 3/11/2019 - 4 Hours Per Month/0 Hours During Securities Trading. 2) 10/29/2021 - NBT INVESTMENT SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/27/2021 - 160 Hours Per Month/160 Hours During Securities Trading. 3) 05/24/2024 - NBT Capital Management - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 09/01/2021 - 240 Hours Per Month/ 6 Hours During Trading - I provide investment advisory services through NBT Capital Management, an independent investment advisor firm. I started this business activity in 9/2021. I expect to spend approximately 240 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-03-22
S63 Uniform Securities Agent State Law Examination 2021-02-03
  • S65 Uniform Investment Adviser Law Examination
    2022-03-22
  • S63 Uniform Securities Agent State Law Examination
    2021-02-03
Other Names
  • John C Karadenes
  • John Karadenes

View on SEC IAPD

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