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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-10-10 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwest Bank | Orchard Park | NY | 01/2018 | 05/2019 |
| Northwest Bank | Williamsville | NY | 07/2016 | 12/2017 |
| Kay Jewelers | Williamsville | NY | 07/2014 | 12/2017 |
| Key Bank | Orchard Park | NY | 05/2019 | 08/2023 |
| Equitable Advisors, Llc | Williamsville | NY | 09/2023 | 08/2024 |
| Canal Bank, A Division Of Chemung Canal Trust Company | Williamsville | NY | 09/2024 | Present |
| Lpl Financial Llc | Williamsville | NY | 03/2025 | Present |
1- 03/27/2025 - Chemung Canal Trust Company - Notary - Inv Rel - At Reported Business Location(s) - Start date: 10/05/2020 - 4 Hrs/Mth - 1 Hrs During Trading. 2- 03/27/2025 - CFS GROUP, INC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 3- 03/27/2025 - Chemung Canal Trust Company - Financial Institution Duty - Inv Rel - At Reported Business Location(s) - Start date: 09/09/2024 - 160 Hrs/Mth - 8 Hrs During Trading. 4. 05/08/2025 - Specific Solutions Inc - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date: 05/09/2025 - 12 Hrs/Mth - 12 Hrs During Trading. 5. 06/16/2025 - Tops Friendly Markets - Not Investment Related - Outside/W-2 Employment - Orchard Park, NY - Start Date:06/16/2025 - 64 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 2023-01-06 |
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