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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-12-04 |
Branch Locations
3500 Main Street, Amherst, NY 14226 • United States
3065 Niagara Falls Blvd., Amherst, NY 14228-1115 • United States
2882 Delaware Ave., Kenmore, NY 14217-2796 • United States
Buffalo, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Buffalo | NY | 07/2014 | 12/2017 |
| Bank Of America, N.A. | Buffalo | NY | 11/2014 | 12/2017 |
| Cadaret, Grant & Co., Inc. | Amherst | NY | 12/2017 | 07/2021 |
| Citi Group | Amherst | NY | 08/2021 | 11/2021 |
| M&T Bank | Kenmore | NY | 11/2021 | Present |
| Lpl Financial Llc | Kenmore | NY | 12/2021 | Present |
1. 12/3/2021 - M&T Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 11/17/2023 - Wilmington Advisors at M&T - DBA: WAAM - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/30/2021 - 160 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-12-16 |
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