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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2026-07-22 |
| NY | RA | APPROVED | 2024-10-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mutual Of Omaha | Amherst | NY | 06/2016 | 11/2016 |
| Citizens Securities, Inc | Amherst | NY | 12/2016 | 11/2019 |
| Citizens Bank | Amherst | NY | 12/2016 | 11/2019 |
| Keybank | East Aurora | NY | 12/2019 | 03/2021 |
| Key Investment Services | East Aurora | NY | 01/2020 | 03/2021 |
| Hsbc Bank Usa, N.A. | Depew | NY | 04/2021 | 11/2022 |
| Hsbc Securities (Usa) Inc. | Depew | NY | 05/2021 | 11/2022 |
| Northwest Bank | Hamburg | NY | 11/2022 | Present |
| Lpl Financial Llc | Hamburg | NY | 11/2022 | Present |
1- 11/2022 / Northwest Investment Services / DBA for LPL Business (entity for LPL business) / INVESTMENT RELATED / Hamburg, NY 2- 10/2021 / Buffalo Advertising / Other / NON INVESTMENT RELATED / BUFFALO, NY 3- 10/2020 / NOTARY / INVESTMENT RELATED / Hamburg, NY 4- 11/2022 / Northwest Bank / Financial Institution Duty / INVESTMENT RELATED / Hamburg, NY
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-10-29 |
| S63 | Uniform Securities Agent State Law Examination | 2017-09-05 |
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