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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-07-29 |
Branch Locations
254 South Main St, Ste.406, New City, NY 10956 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Investments | Greenwich | CT | 10/2005 | 03/2019 |
| Fidelity Personal And Workplace Advisors | Boston | MA | 07/2018 | 03/2019 |
| E*Trade Securities Llc | Scarsdale | NY | 03/2019 | 01/2021 |
| E*Trade Capital Management Llc | Scarsdale | NY | 03/2019 | 01/2021 |
| E*Trade Securities Llc | Purchase | NY | 01/2021 | 11/2023 |
| E*Trade Capital Management Llc | Purchase | NY | 01/2021 | 11/2023 |
| Morgan Stanley | Purchase | NY | 03/2023 | 11/2023 |
| Morgan Stanley | Purchase | NY | 09/2023 | 11/2023 |
| Morgan Stanley | Purchase | NY | 09/2023 | 11/2023 |
| Lpl Financial | New York | NY | 06/2026 | Present |
| Unemployed | New York | NY | 12/2023 | 06/2026 |
1. 06/2026 - Michael DeFilippis - Non-Variable Insurance - Inv Related – 10 Hour(s)/Month – 5 Hour(s) During Trading – New City, NY, 10956 – OBA Start Date: 06/09/2026 2. 06/2026 - Riolo Financial Group - Non-Variable Insurance - Inv Related – 160 Hour(s)/Month – 160 Hour(s) During Trading – New City, NY, 10956 – OBA Start Date: 06/09/2026 3. 06/2026 - Riolo Financial Group - DBA for LPL Business (entity for LPL business) - Inv Related – 160 Hour(s)/Month – 160 Hour(s) During Trading – At Reported business location(s) – OBA Start Date: 6/22/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-07-28 |
| S63 | Uniform Securities Agent State Law Examination | 2006-05-11 |
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