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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 |
Branch Locations
399 Knollwood Road, Ste. 317, White Plains, NY 10603 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nfp Securities, Inc. | White Plains | NY | 11/2012 | 08/2017 |
| Lpl Financial Llc | White Plains | NY | 09/2017 | Present |
1) 08/24/2017 - The Ross Company - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 09/2011 - 160 hr/mth. 2) 12/10/2018 - The Ross Company - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/11/2017 - Time Spent 50% - Fixed insurance. 3) 4/6/2023 - Asterion Wealth Advisory Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 01/03/2023 - 10 Hours Per Month/10 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2006-10-03 |
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