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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-08-04 |
| TX | RA | APPROVED_RES | 2025-08-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M&T Securities | Buffalo | NY | 08/2015 | 04/2017 |
| Lpl Financial, Llc | Williamsville | NY | 04/2017 | 11/2022 |
| Private Advisor Group, Llc | Williamsville | NY | 04/2017 | 11/2022 |
| Osaic Wealth, Inc. | Williamsville | NY | 11/2022 | 08/2025 |
| Lpl Financial | Williamsville | NY | 08/2025 | Present |
1. 06/2025 - Georgetown Lawley Group - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hrs/Mth - 8 Hrs During Trading - At Reported Business Location(s) - OBA Start Date: 08/04/2025 2. 06/2025 - JOSEPH HENRY SHAW III - Non-Variable Insurance - Investment Related - 2 Hrs/Mth - 1 Hrs During Trading - Buffalo NY 14202 - OBA Start Date: 11/23/2022
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-12-08 |
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