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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 |
Branch Locations
2 South Main Street, New Berlin, NY 13411 • United States
5632 State Highway 12, Norwich, NY 13815 • United States
10 North Canal St, Oxford, NY 13830 • United States
117 State Highway 320, Norwich, NY 13815 • United States
52 South Broad Street, Norwich, NY 13815 • United States
1 West Main Street, Edmeston, NY 13335 • United States
2 South Main Street, Earlville, NY 13332 • United States
1 Madison Street, Hamilton, NY 12246 • United States
30 West Utica Street, Oswego, NY 13126 • United States
2743 Nys Rte. 26, Cincinnatus, NY 13040 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Norwich | NY | 07/2010 | Present |
(1) 07/07/2010: COLONIAL FINAICIAL SERVICES - INV REL - 331 MAIN ST, JOHNSON CITY, NY 13790 - NON-VARIABLE INSURANCE - WRITE LIFE, FIXED ANNUITY AND LTC BUSINESS. (2) 07/07/2010: NBT BANK - 331 MAIN ST, JOHNSON CITY, NY 13790 - OTHER - 85% OF TIME SPENT - REGISTERED REPRESENTATIVE IN LPL FIS PROGRAM AT BANK. NO BANK ACTIVITIES ARE PREFORMED. (3) 07/03/2014: NBT INSURANCE AGENCY, LLC - INV REL - 331 MAIN ST, JOHNSON CITY, NY 13790 - NON-VARIABLE INSURANCE - START 06/23/2014 - 10 HRS/MO ALL DURING SECS TRDG HRS - MARKETING, SALES AND SERVICE OF FIXED LIFE, DISABILITY, LTC, HEALTH AND ANNUITY PRODUCTS (4) 5/2/2019 - NBT INVESTMENT SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). (5) 05/17/2019 - No business name - Investment related - Norwich, NY 13815 - Real Estate Rental - Start date:04/01/2019 - 2 hrs/mo - 0 hrs during trading - Purchased a 2 unit income rental property.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2008-10-17 |
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