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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-03-06 |
| NY | RA | APPROVED | 2021-11-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Charlotte | NC | 05/2012 | 09/2016 |
| First Niagara Bank | New Hartford | NY | 05/2012 | 09/2016 |
| Key Investment Services Llc | New Hartford | NY | 09/2016 | 06/2017 |
| Wells Fargo Clearing Services Llc | New Hartford | NY | 06/2017 | 07/2018 |
| Nbt Bank Na | Whitesboro | NY | 08/2018 | 08/2021 |
| Lpl Financial | Utica | NY | 07/2021 | Present |
| Nbt Bank N.A. | Utica | NY | 07/2021 | Present |
1) 9/2021 - DBA for LPL Business (entity for LPL business) - NBT INVESTMENT SERVICES - Investment Related - Utica, NY 13502 2) 8/2004 - Notary - James Chase - Investment Related - Oriskany, NY 13424
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-11-05 |
| S65 | Uniform Investment Adviser Law Examination | 2013-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 2009-12-29 |
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