Donna M Richie

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-11-03

NY RA
APPROVED

Since 2021-11-03

Branch Locations

250 S. Clinton St. 4Th Floor, Syracuse, NY 13202 • United States

6195 E Molloy Rd, East Syracuse, NY 13057 • 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

Organization	City	State	From	To
M&T Bank	Syracuse	NY	03/1993	Present
M&T Securities	Buffalo	NY	11/2001	Present
Lpl Financial Llc	East Syracuse	NY	06/2021	Present
Lpl Financial Llc	East Syracuse	NY	06/2021	Present

03/1993 → Present

M&T Bank

Syracuse, NY
11/2001 → Present

M&T Securities

Buffalo, NY
06/2021 → Present

Lpl Financial Llc

East Syracuse, NY
06/2021 → Present

Lpl Financial Llc

East Syracuse, NY

Previous Registrations

2008-09-23 → 2021-06-09

M&T Securities, Inc.

East Syracuse, NY

Buffalo, NY

Syracuse, NY

Syracuse, NY

Baltimore, MD

Other Businesses

STARTING: 03/1993 ; MANUFACTURERS & TRADERS TRUST COMPANY ("M&T BANK"), ONE M&T PLAZA, BUFFALO, NY 14203; EMPLOYEE OF M&T BANK. THE MAJORITY OF HOURS ARE DEDICATED TO BANKING RELATED FUNCTIONS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-09-22
S63	Uniform Securities Agent State Law Examination	2002-01-18

S65 Uniform Investment Adviser Law Examination

2008-09-22
S63 Uniform Securities Agent State Law Examination

2002-01-18

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews