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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 | 2004-01-02 |
Branch Locations
520 White Plains Road, Ste 500, Tarrytown, NY 10591 • United States
Hastings On Hudson, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc ( | Tarrytown | NY | 12/2002 | Present |
| The Capital Preserve, Inc. | Tarrytown | NY | 01/2005 | Present |
(1) 12/04/2002 - DBA ONLY / THE CAPITAL PRESERVE, INC. (2) 07/01/2003 - INSURANCE / SELL LIFE, ANNUITIES, DISABLITY, LTC (3)07/18/2011 - THE CAPITAL PRESERVE, INC / REGISTERED INVESTMENT ADVISOR / 10% OF TIME SPENT. (4) 10/21/2014 - ATTORNEY - RETIRED - TARRYTOWN, NY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-18 |
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