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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-04-21 |
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
225 Chestnut St, Rochester, NY 14604 • United States
Rochester, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Esl Investment Services, Llc | Rochester | NY | 10/2006 | Present |
| Lpl Financial | Rochester | NY | 10/2006 | Present |
| Cooper/Haims Advisors, Llc | Victor | NY | 03/2021 | Present |
1. 10/04/2006 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - ESL INVESTMENT SERVICES, LLC - INVESTMENT RELATED - ROCHESTER, NY. 2. 11/14/2010 - OTHER-NOTARY - NOTARY PUBLIC - INVESTMENT RELATED - TIME SPENT 1% - ROCHESTER, NY. 3. 10/15/2018 - ESL Investment Services, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/06/2018 - 1 Hours Per Month/0 Hours During Securities Trading. 4. 10/15/2020 - Cooper/Haims Advisors, LLC - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Chief Compliance Officer - Start Date: 11/30/2020 - 80 Hours Per Month/4 Hours During Securities Trading. 5. 11/02/2022 - ESL Investment Services, LLC - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Chief Compliance Officer - Start Date: 10/02/2006 - 15 Hours Per Month/3 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-24 |
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