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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-04-19 |
| TX | RA | APPROVED | 2023-04-19 |
Branch Locations
254 South Main St, Ste.406, New City, NY 10956 • United States
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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Saddle Brook | NJ | 11/2014 | 04/2023 |
| Lpl Financial | New City | NY | 04/2023 | Present |
1) 04/2023 - Portfolios with a Plan - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 2) 04/2023 - LPL FINANCIAL - Non-Variable Insurance- Inv. Related - New City, NY - Agent Selling Insurance - Start Date 04/12/2023 - 160hrs/month 3) 09/25/2023 - Riolo Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/01/2023 - 200 Hours per Month/ 100 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-17 |
| S63 | Uniform Securities Agent State Law Examination | 1983-11-30 |
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