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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-03
NJ RA APPROVED 2011-06-01
  • NY RA
    APPROVED
    Since 2021-08-03
  • NJ RA
    APPROVED
    Since 2011-06-01

Branch Locations

363 Hempstead Avenue, Hempstead, NY 11565 • United States

162 Hillside Ave, Williston Park, NY 11596 • United States

339 Merrick Rd, Rockville Centre, NY 11570 • United States

1150 Franklin Avenue, Garden City, NY 11530 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Rockville Centre NY 06/2011 Present
Sterling National Bank(Fka:AStoria Bank;Astoria Federal Savings) Rockville Centre NY 06/2011 09/2021
Webster Bank Rockville Centre NY 09/2021 Present
  • 06/2011 → Present
    Rockville Centre, NY
  • 06/2011 → 09/2021
    Sterling National Bank(Fka:AStoria Bank;Astoria Federal Savings)
    Rockville Centre, NY
  • 09/2021 → Present
    Webster Bank
    Rockville Centre, NY
Previous Registrations
  • 2011-04-15 → 2011-05-16
    Capital One Financial Advisors Llc
    Melville, NY
Other Businesses

1. 09/02/2021 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Investment Related - At Reported Business Location(s) - Start Date: 09/02/2021. 2. 10/30/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Investment Related - At Reported Business Location(s) - Start Date 11/13/2025 - 160 hours per month/ during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-04-12
S63 Uniform Securities Agent State Law Examination 1990-08-31
  • S65 Uniform Investment Adviser Law Examination
    2011-04-12
  • S63 Uniform Securities Agent State Law Examination
    1990-08-31
Other Names
  • Ann Marie Mcphillips
  • Ann Marie Mcphillips

View on SEC IAPD

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