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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-09-13 |
Branch Locations
75 North St, Pittsfield, MA 01201 • United States
609 Merrill Road, Pittsfield, MA 01201 • United States
331 State Road, North Adams, MA 01247 • United States
76 Park St, Lee, MA 01238 • United States
295 Broadway, Saratoga Springs, NY 12866 • United States
51 Luther Forest Blvd, Mechanicville, NY 12118 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lee Serino Insurance Agency | Clifton Park | NY | 06/2013 | 06/2018 |
| State Farm Vp Management Corp | Clifton Park | NY | 08/2013 | 06/2018 |
| Ralph Serino Insurance Agency | Clifton Park | NY | 06/2013 | 06/2018 |
| Keybank | Ballston Spa | NY | 06/2018 | 07/2022 |
| Key Investment Services Llc | Cohoes | NY | 07/2018 | 07/2022 |
| Keybank Equipment Finance | Albany | NY | 07/2022 | 07/2023 |
| Nbt | Saratoga Springs | NY | 05/2024 | Present |
| Lpl Financial | Saratoga Springs | NY | 05/2024 | Present |
| Unemployed | Saratoga Springs | NY | 07/2023 | 05/2024 |
1. 05/16/2024 - NBT INVESTMENT SERVICES - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 05/16/2024 - NBT BANK - Inv Related - At Reported Business Location(s) - Notary - Started: 1/30/2017. 3. 08/21/2024 - NBT Insurance Agency, LLC - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 09/01/2024 - 5 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 2010-06-30 |
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