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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-04 |
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
1895 Central Ave, Albany, NY 12205 • United States
1742 Union Street, Schenectady, NY 12309 • United States
920 Albany, Schenectady, NY 12305 • United States
5003 State Highway 30, Amsterdam, NY 12010 • United States
469 State St, Schenectady, NY 12305 • United States
582 Balltown Rd, Schenectady, NY 12304 • United States
4 Winners Circle, Albany, NY 12205 • United States
Troy, NY • United States
3200 Balltown Rd, Schenectady, NY 12304 • United States
262 Saratoga Rd, Schenectady, NY 12302 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cap Com Federal Credit Union | Albany | NY | 01/2010 | Present |
| Lpl Financial Llc | Albany | NY | 08/2014 | Present |
1) 8/5/14-CAP COM FINANCIAL SERVICES/DBA FOR LPL BUSINESS/100%/ALBANY, NY 2) 8/5/14-CAP COM FEDERAL CREDIT UNION/BANK DUTY-MEMBER SERVICES/90%/ALBANY, NY 3) 8/5/14-REAL ESTATE RENTAL/OWNER/1%/WATERVLIET, NY 4) 10/21/2015: CAP COM Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/20/14 - 20 Hours Per Month During Securities Trading. 5) 2/28/2023 - Broadview Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/31/2023 6) 07/11/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Other - Notary Public - Start Date 05/31/2011 - 1 Hor Per Month/ 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-10-21 |
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