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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 |
| TX | RA | APPROVED_RES | 2021-06-12 |
| PA | RA | APPROVED | 2019-04-09 |
Branch Locations
5751 South Park Ave, Hamburg, NY 14075 • United States
2070 George Urban Blvd., Depew, NY 14043 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Hamburg | NY | 06/2010 | Present |
| Northwest Bank | Hamburg | NY | 08/2016 | Present |
1. 2/11/2020 - Northwest Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/1/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 2. 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 2008-06-23 |
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