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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
623 New Loudon Rd, Latham, NY 12110 • United States
139 Meyer Rd, Halfmoon, NY 12065-1414 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Us Army Reserves | Troy | NY | 03/1989 | Present |
| Lpl Financial, Llc | Latham | NY | 09/1996 | Present |
1. 11/22/2006: Current Assets - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 5% - As a Chartered Life Underwriter (CLU), consult with clients regarding their insurance and retirement needs and offer for sale non-variable life insurance and annuities, disability income and long-term care insurance - 0 Hrs/Mth - 0 Hrs During Trading. 2. 4/25/2007: Current Assets - At Reported Business Location(s) - Non-Variable Insurance DBA - Time Spent 5% - Offer fixed insurance products to clients and to market securities through LPL - 0 Hrs/Mth - 0 Hrs During Trading.. 3. 5/28/2009: Current Assets - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 5% - As a Chartered Life Underwriter (CLU), consult with clients regarding their non-variable insurance needs, charging a flat fee as provided by NYS Ins law and sell fixed products for which I receive a commission - 0 Hrs/Mth - 0 Hrs During Trading.. 4. 10/14/2014: NY Army National Guard - Not Investment Related - 900 Washington Road, West Point, NY 10996 - Other-military reservist - Started 03/13/1989 - 4 Hours Per Month/0 Hours During Securities Trading - In the retired reserves and receive a pension. 5. 10/23/2014 - Not Investment Related - 623 New Loudon Road, Latham, NY 12110 - Other-consulting - Start Date:08/01/2014 -1 Hours Per Month/0 Hours During Securities Trading - Complete surveys for market research organizations. 6.11/28/2023 - Investment Related - Hancock, MA; Cooperstown, NY - Real Estate Rental - Started 01/01/2013 - 10 Hours Per Month/0 Hours During Securities Trading 7. 06/26/2025 - Current Assets - Non-Variable Insurance - Inv Related - At Reported Business Location(s) - Start Date: 11/22/2006 - 12 Hours Per Month/3 Hours During Securities Trading 8) 06/26/2025 - Current Assets - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date: 05/28/2009 - 12 Hrs/Mth - 3 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-01-02 |
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