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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-11-14 |
| PA | RA | APPROVED | 2024-11-14 |
Branch Locations
133 Albany Street, Cazenovia, NY 13035 • United States
500 Plum St Ste 301, Syracuse, NY 13204 • United States
2662 Route 20 East #3, Cazenovia, NY 13035 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 11/2015 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 11/2015 | 11/2020 |
| Pruco Securities, Llc. | New Hartford | NY | 11/2020 | 11/2024 |
| Prudential Insurance Company Of America | New Hartford | NY | 11/2020 | Present |
| Lpl Enterprise, Llc | Cazenovia | NY | 11/2024 | Present |
1) 11/15/2024- Cazenovia Lion Club Foundation- Non-Profit Board Member- Board Member on Foundation- Not INV Related- At Cazenovia, NY- Start date 06/01/2023- 1 HRS MTH- 0 HRS During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 2015-05-08 |
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