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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 | 2013-08-14 |
Branch Locations
390 Packets Landing, Fairport, NY 14450 • United States
Tucson, AZ • United States
Fairport, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp) | Rochester | NY | 03/2004 | Present |
(1) 3/16/2004 - NON-VARIABLE INSURANCE - SELL FIXED LIFE INSURANCE PRODUCTS THROUGH CAPITAL CARE. - ROCHESTER, NY (2) 08/16/2013 - NOTARY - 1% OF TIME SPENT - ROCHESTER, NY (3) 06/16/2022 - Riley Whalen Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/01/2022 - 10 Hours Per Month/ 10 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-03 |
| S63 | Uniform Securities Agent State Law Examination | 1985-10-29 |
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