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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-07 |
| PA | RA | APPROVED | 2018-07-09 |
Branch Locations
800 State Street, Suite 400, Erie, PA 16501 • United States
800 State Street, Suite 100, Erie, PA 16501 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citizens Securities, Inc. | Mercer | PA | 04/2016 | 02/2017 |
| Pnc Investments, Llc | Warren | PA | 02/2017 | 06/2018 |
| Lpl Financial Llc | Erie | PA | 07/2018 | Present |
| Northwest Bank | Erie | PA | 07/2018 | Present |
1. 07/05/2018 - The Unhandy Handy Man - Wood Crafting furniture, home decor, etc - Business Owner - non-inv rel - out of residential location - start: 01/2015 - 10 hr/mth. 2. 10/4/2019 - Integrated Financial Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 07/02/2018 - 1 Hour Per Month During Securities Trading. 3. 10/4/2019 - BSMG - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 07/02/2018 - 1 Hour Per Month During Securities Trading. 4. 2/11/2020 - Northwest Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/01/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 5. 5/12/2021 - Northwest Bank - Not Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 5/11/2021 - 5 Hours Per Month/0 Hours During Securities Trading - Referring to bank partners. 6. 11/2/2021 - No Business Name - Investment Related - Erie PA 16508 - Real Estate Rental - Started 03/08/2021 - 1 Hour Per Month/0 Hours During Securities Trading - Bought a duplex this year and live in one side and rent the other out to my in laws.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-04-21 |
| S63 | Uniform Securities Agent State Law Examination | 2013-04-11 |
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